07-01088 | 02/05/2008 | Claimant(s): Richard Oppong Claimant Lawyers(s): Lee Boothby Respondent(s): E*Trade Securities LLC, E*Trade Bank Respondent Lawyers(s): John Bersin Arbitrator(s): Walter Peterson, Michael J. Henke, Jane C. Carney Hearing Site: Washington, DC
| | $225 |
07-00409 | 01/29/2008 | Claimant(s): Ferdinand Tranfo, Letizia Tranfo Claimant Lawyers(s): Arthur M. Schwartzstein Respondent(s): Jeffrey Shuster, Westrock Advisors. Respondent Lawyers(s): Robert Giacovas Arbitrator(s): John H. Baffa, Gloria Asher, Anne Q. Uno Hearing Site: Washington, DC
| | $0 |
06-02294 | 12/07/2007 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Catania Facher Respondent(s): Peter K. and Amy M. Barrett Respondent Lawyers(s): Peter K. Barrett Arbitrator(s): Marshall Passman, David L. Ruderman, Kermit C. Zieg Hearing Site: Washington, DC
| | $0 |
07-01120 | 11/02/2007 | Claimant(s): Linda Chandler Claimant Lawyers(s): Vincent J. Imbesi Respondent(s): Prudential Equity Group Respondent Lawyers(s): Jack G. Lerner Arbitrator(s): Paul Davis Pearlstein Hearing Site: Washington, DC
| | $0 |
06-04416 | 10/25/2007 | Claimant(s): Franklin Fitch Claimant Lawyers(s): Richard J. Edson Respondent(s): Ameriprise Advisor Services., Manish Mukhi Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Paul Davis Pearlstein, Deborah Page Aune, Olivia Milbank Farrar Hearing Site: Washington, DC
| | Stipulated Award and Expungement |
07-00210 | 09/11/2007 | Claimant(s): Thomas Woolman Claimant Lawyers(s): Thomas A. Woolman Respondent(s): USAA Investment Management Company Respondent Lawyers(s): Dennis A. Nowak Arbitrator(s): W. Reece Bader, Maurice R. Dunie, Egon Guttman Hearing Site: Washington, DC
| | $0 |
03-08225 | 09/05/2007 | Claimant(s): Jeff Karnes, Jeremy Voye, Sarah Hedges Claimant Lawyers(s): Amir H. Tadjedin Respondent(s): Citigroup Global Markets., Jack Grubman, Kevin Keating Respondent Lawyers(s): Nancy E. Nunan Arbitrator(s): Marshall Passman, Louis Nebel Hearing Site: Washington, DC
| | Stipulated Award and Expungement |
03-07616 | 08/09/2007 | Claimant(s): Darren Gryniuk Claimant Lawyers(s): David S. Markun Respondent(s): Citigroup Global Markets., Jack B. Grubman, Kevin Keating Respondent Lawyers(s): Jennifer M. Blunt Arbitrator(s): Samuel A. Alward, Karen V. Cunningham, Kelli J. Jareaux Hearing Site: Washington, DC
| | Stipulated Award and Expungement |