| 07-01594 | 03/10/2008 | Claimant(s): William Ralston
Claimant Lawyers(s): William R. Ralston
Respondent(s): Andra Dillard, Delta Trust Investments.
Respondent Lawyers(s): Nate Coulter
Arbitrator(s): Chet Roberts, Rudy A. Martin, Jay R. Robinson
Hearing Site: Little Rock, AR
|  | $0 |
| 06-02977 | 03/07/2008 | Claimant(s): Rayna Brown
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): J.P. Morgan Securities., John Anderson, PFG Distribution Company
Respondent Lawyers(s): Robert J. Stumpf, Jr.
Arbitrator(s): Isidoro Berkman, William Michael Samsel, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | $99,963 |
| 06-04978 | 03/07/2008 | Claimant(s): Emily Firebaugh
Claimant Lawyers(s): Jerome F. Raskas
Respondent(s): CIBC World Markets Corp., A.G. Edwards & Sons.
Respondent Lawyers(s): Elizabeth Aylett, Nancy A. Tayborn
Arbitrator(s): Albert J. Haller, Terra Case Sander, David F. Barrett
Hearing Site: St. Louis, MO
| | $110,000 |
| 06-05202 | 03/06/2008 | Claimant(s): David Hubert
Claimant Lawyers(s): Fred Rucker
Respondent(s): Donald Kellen, J.P. Morgan Securities
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): Edwin C. Shiver, Ivan Claman, Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
| | $0 |
| 07-00944 | 03/06/2008 | Claimant(s): Estate of Donald K. Stuart
Claimant Lawyers(s): Mark Carta
Respondent(s): Michelle Stuart, Lehman Brothers Inc
Respondent Lawyers(s): Robert P. Dolian, Victor A. Machcinski
Arbitrator(s): Hugh N. Fryer, Margaret M McQueeney, Joshua Mark Zucker
Hearing Site: New York, NY
| | $0 |
| 06-05197 | 03/05/2008 | Claimant(s): Billy Willoughby, Carol Morford, Clay Faulconer, Edward Graham, Helen Phillips, James Hellard, James Phillips, Jimmie Embry, Luster Palmer, Marcia Hicks, Richard Shelton, Robert McDonnell
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Byron Holley, A.G. Edwards & Sons.
Respondent Lawyers(s): Amy C. Johnson
Arbitrator(s): Bill Swinford, John P. McShane, David T. Maddux
Hearing Site: Louisville, KY
| | $497,071 |
| 07-02470 | 03/04/2008 | Claimant(s): FE & Janet A. White Revocable Living
Claimant Lawyers(s): Frederic Enoch White
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Linda M. McCoy
Hearing Site: San Francisco, CA
| | $25,000 |
| 06-05365 | 03/03/2008 | Claimant(s): Katherine Griffin, TTEE to Living TRST
Claimant Lawyers(s): Dan Brecher
Respondent(s): Goldman, Sachs and Company, Sofia Frankel
Respondent Lawyers(s): Brian F. McDonough, Michael J. Dell
Arbitrator(s): Bryon P. Fusini, Michael F. Halasz, Jeanne E. Libit
Hearing Site: Washington, DC
| | Expungement |
| 06-02039 | 02/29/2008 | Claimant(s): David Morrill, Dorothy Jones, Gale Peregrin, Nancy Morrill, William Tierney, Walter Bell and Caroline Bell, Miami Magnet Co. Profit Sharing Plan, The Gale Peregrin Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Legend Equities Corporation
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Joseph L. Bernstein, Marc S. Piven, Louis David Huss
Hearing Site: Boca Raton, FL
| | $142,156 |
| 06-04822 | 02/29/2008 | Claimant(s): Neal Winberg, Shelley Winberg, Winberg Family Partnership, LLP, Winberg Family Char. Remainder Trust
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Debra Silversmith, Donald Silversmith, Omnivest.
Respondent Lawyers(s): Russell K. Bean, William D. Nelson
Arbitrator(s): Jeffrey M. Bain, Richard M. Duxbury, David K. Schaal
Hearing Site: Omaha, NE
| | $307,717 |
