| 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 |
