| 07-02031 | 07/15/2008 | Claimant(s): Osvaldo Alfonso
Claimant Lawyers(s): Osvaldo Alfonso
Respondent(s): Knickeita Vassel-Bullock, Merrill Lynch Pierce Fenner & Smith Inc., ICMA-RC Services
Respondent Lawyers(s): Angela A. Turiano, Jason Okera Keene
Arbitrator(s): Kimberly A. Gilmour, Adam Harrison Smith, Harold S. Stern
Hearing Site: Boca Raton, FL
|  | $0 |
| 07-03207 | 07/14/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Kenneth Lee
Respondent Lawyers(s): Kenneth Lee
Arbitrator(s): Gloria J Liddell
Hearing Site: New Orleans, LA
| | $0 |
| 07-01364 | 07/14/2008 | Claimant(s): Garland O. and Antoinette P. Williamson
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Stanley Laman Group Securities
Respondent Lawyers(s): William G. Stanley
Arbitrator(s): William P. Borduin, Brenda J. Stovall, Thomas E. Maloney
Hearing Site: Baltimore, MD
| | Stipulated Award and Expungement |
| 07-03542 | 07/14/2008 | Claimant(s): Donna Pierce
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Irving M. Shlesinger, Marshal H. Emerson, Cheung David Chhieng
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 06-03323 | 07/14/2008 | Claimant(s): Geoffrey Minte
Claimant Lawyers(s): Michael Huberman
Respondent(s): Renos Gordos
Respondent Lawyers(s): Norman B. Arnoff
Arbitrator(s): Barton B. Skeen, Deborah B. Haskell, Darman A. Wing
Hearing Site: Augusta, ME
| | $0 |
| 07-03419 | 07/14/2008 | Claimant(s): Jack Bush
Claimant Lawyers(s): Jack R. Bush
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Danielle L. Hargrove
Hearing Site: Houston, TX
| | $163 |
| 04-04999 | 07/11/2008 | Claimant(s): Richard Bennett
Claimant Lawyers(s): John J. Hopkins
Respondent(s): J.P. Morgan Clearing Corp., Matthew Pickett
Respondent Lawyers(s): John C. Allen
Arbitrator(s): Patrick Lanier, William B. Madden, Harry J Saginaw
Hearing Site: Dallas, TX
| | Stipulated Award and Expungement |
| 07-01782 | 07/10/2008 | Claimant(s): Harold Burdette
Claimant Lawyers(s): Rodney J. Heggy
Respondent(s): Invest Financial Corporation, BancWest Investment Services., Putnam Retail Management Limited Part
Respondent Lawyers(s): Andrew J. Hachey, Ross A. Anderson
Arbitrator(s): Theron L. Vanlandingham, Cleve W. Powell, David A. Laughlin
Hearing Site: Oklahoma City, OK
| | $0 |
| 06-01645 | 07/09/2008 | Claimant(s): Gail Wasserman, Wexler Meat Co. Profit Sharing Trust
Claimant Lawyers(s): Elliot M. Samuels
Respondent(s): Barry Rosenberg, Mesirow Financial.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Jeffrey W. Finke, Robert B. Schmidt, Nicolaus Bruns
Hearing Site: Chicago, IL
| | $0 |
| 07-02600 | 07/09/2008 | Claimant(s): Julie Maleitzke, Estate of Gary L. Maleitzke, Deceased
Claimant Lawyers(s): William K. Murphy
Respondent(s): Brent Kerstetter, Raymond James Financial Services., Michelle Dean
Respondent Lawyers(s): John I. Bain, Kelli Bullington
Arbitrator(s): Patrick R. Sughroue, Benjamin A. Kerner, Thomas L. Imbrunone
Hearing Site: Detroit, MI
| | $0 |
