| 06-02577 | 06/30/2008 | Claimant(s): David Hester
Claimant Lawyers(s): David Hester
Respondent(s): Kenneth Houston, American General Equity Services Corp., PFS Investments., Estate of Kenneth Ray Houston, Sr.
Respondent Lawyers(s): Jeffrey W. Willis, John N. Bolus, Rik S Tozzi
Arbitrator(s): Fred M. Ridolphi, Earle Park Kelley, Todd Edward Phillips
Hearing Site: Birmingham, AL
|  | $0 |
| 06-02927 | 06/30/2008 | Claimant(s): Brendan R. Donovan, IRA
Claimant Lawyers(s): Brendan R. Donovan
Respondent(s): Richard Patterson, Lehman Brothers Inc
Respondent Lawyers(s): Christopher P. Litterio
Arbitrator(s): John B. Haggerty, Nickolas F. Monteforte, Gene M. Bauer
Hearing Site: Boston, MA
| | $0 |
| 07-02321 | 06/30/2008 | Claimant(s): Grace A. Neuner IRA, George G. Neuner and Grace A. Neuner
Claimant Lawyers(s): George G. Neuner
Respondent(s): Alex Ceron, Wachovia Securities
Respondent Lawyers(s): Jeremy M. Colvin, Myles H. Malman
Arbitrator(s): James W. Geiger, Ellen J. Abrams, Andrew F. Greitz
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 07-02016 | 06/26/2008 | Claimant(s): Maria Blatter
Claimant Lawyers(s): Kevin M. Kinne
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Joseph L. Bernstein, Jonathan H. Parker, Jose Ramon Vazquez
Hearing Site: San Juan, PR
| | $0 |
| 07-02946 | 06/26/2008 | Claimant(s): Richard Haskell, Susan Haskell
Claimant Lawyers(s): Sean Greenwood
Respondent(s): Scottrade.
Respondent Lawyers(s): Thomas L. Azar
Arbitrator(s): Ralph M. Goren, Daniel C. Kriser, Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 07-03193 | 06/24/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Sandy Fliderman
Respondent Lawyers(s): Sandy Fliderman
Arbitrator(s): Carol E. Weir
Hearing Site: New York, NY
| | $0 |
| 07-02242 | 06/23/2008 | Claimant(s): Edward Bagley
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Max Assenheimer, Northeast Securities.
Respondent Lawyers(s): Adam S. Tanenbaum
Arbitrator(s): Don Muyskens, William J. Schifino, Jason S. Thackeray
Hearing Site: Tampa, FL
| | $100,000 |
| 07-01578 | 06/23/2008 | Claimant(s): Mario Picinich, Rosemarie Picinich
Claimant Lawyers(s): Bruce E. Baldinger
Respondent(s): Jeffrey Alecci, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Susan MacFarlane
Arbitrator(s): Nathan J. Minucci, Kenneth J. Horowitz, Norman Kass
Hearing Site: Newark, NJ
| | $0 |
| 03-03099 | 06/19/2008 | Claimant(s): Steven Vender
Claimant Lawyers(s): William F. Davis
Respondent(s): Lehman Brothers Inc
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Edward T. Swanson
Hearing Site: Los Angeles, CA
| | $0 |
| 05-06525 | 06/18/2008 | Claimant(s): George Busse, Yvonne Busse, George D. Busse Trust
Claimant Lawyers(s): Lawrence L. Klayman
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Curt Roy Hineline
Arbitrator(s): John E. Plock, Richard J. Lawrence, Martha Jeanne Wilcoxson
Hearing Site: Cheyenne, WY
| | $0 |
