07-01148 | 03/17/2008 | Claimant(s): Mary Schilling Claimant Lawyers(s): Richard B. Fosher Respondent(s): Morgan Stanley DW Inc. Respondent Lawyers(s): Thomas P. Briody Arbitrator(s): Jerome J. Brault, John W. Jerak, Steven H. Vogel Hearing Site: Chicago, IL
| | $0 |
06-03305 | 03/14/2008 | Claimant(s): Barbara Drucker, William Drucker, William R. Drucker IRA Claimant Lawyers(s): Joshua N. Cook Respondent(s): Charlene Marant, Elizabeth Ferreira, EM Financial Solutions, Marant Enterprises Holdings LLC, Pershing Advisor Solutions Respondent Lawyers(s): Charlene Marant, Christina Davilas, Compliance Officer, Elizabeth Ferreira Arbitrator(s): Robert Titus, William I. Carmen, Stephen Z. Frank Hearing Site: Boston, MA
| | Settlement |
07-01982 | 03/14/2008 | Claimant(s): Marilyn J. Adams, IRA Claimant Lawyers(s): Marilyn J. Adams Respondent(s): Christian Clinton, A.G. Edwards & Sons. Respondent Lawyers(s): Brent J. Burtin Arbitrator(s): Laz L. Schneider Hearing Site: Boca Raton, FL
| | $10,213 |
07-01242 | 03/13/2008 | Claimant(s): Sheree Swanncak Claimant Lawyers(s): Vincent J. Imbesi Respondent(s): TFS Securities. Respondent Lawyers(s): Russell S. Burnside Arbitrator(s): Cynthia H. Plishtin Hearing Site: New York, NY
| | $0 |
04-08117 | 03/12/2008 | Claimant(s): Deborah A. and Nick C. Kreatsoulas Claimant Lawyers(s): Reggie C. Giffin Respondent(s): Wachovia Securities Respondent Lawyers(s): Beverly Jo Slaughter Arbitrator(s): Jeffrey M. Bain, Robert G. Conway, Thomas R. Skulina Hearing Site: Cleveland, OH
| | $421,031 |
06-04192 | 03/12/2008 | Claimant(s): The Thomas P. Matula Liv. Trust 12/05 Claimant Lawyers(s): C. Darrell Sooy Respondent(s): Morgan Stanley DW Inc. Respondent Lawyers(s): Jeffrey F. Silverman Arbitrator(s): Robert D. Sussin, Ronald E. Ogden, Rosa Linda Guadarrama Hearing Site: Los Angeles, CA
| | $0 |
07-02659 | 03/12/2008 | Claimant(s): Todd Meldrum Claimant Lawyers(s): Todd Meldrum Respondent(s): TD Ameritrade. Respondent Lawyers(s): Kelly R. Davis Arbitrator(s): David I. Goldblatt Hearing Site: New York, NY
| | $88 |
06-05235 | 03/11/2008 | Claimant(s): Gary Weglarz Claimant Lawyers(s): Leslie A Blau Respondent(s): Donna Bellamy, Wayne Dennis, Woodbury Financial Services. Respondent Lawyers(s): John D. Ryan, Marshall L. Blankenship Arbitrator(s): Michael S. Matek, John W. Jerak, Michael Stephen Knight Hearing Site: Chicago, IL
| | $0 |
06-03270 | 03/10/2008 | Claimant(s): Russell Dewing Claimant Lawyers(s): Stephen D. Spivey Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Joseph L. Calabrese Arbitrator(s): John P. Cullem, Beverly S. Gordon, Robert Stephen Burns Hearing Site: Tampa, FL
| | $75,000 |
06-04508 | 03/10/2008 | Claimant(s): David McLaren, Jean-Rene Menand, Pierre Willard, DML Sierra Vista Investments LLC, Gailen Partners, JRM San Antonio Investments LLC, JRM San Antonio Investors., JRM San Antonio Partners, PW Gailen Alto Investors., PW Gailen Investments, RJP Investment Partners, RJP Los Altos Investments LLC, Sierra Vista Partners, Ramesh and Jaya Padmanabhan Claimant Lawyers(s): W. Ralph Canada Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc., Rita Rothstein, Morgan Stanley Capital Group Respondent Lawyers(s): Eric G. Wallis Arbitrator(s): Frank R Weaver, Homer M. Dalbey, Hadden Wing Roth Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |