| 07-00877 | 12/26/2007 | Claimant(s): Vera Maria Knowles IRA FBO
Claimant Lawyers(s): Vera Maria Knowles
Respondent(s): Matthew Collier, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): H. Kyeng Lee
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
|  | Expungement |
| 05-02000 | 12/21/2007 | Claimant(s): Lewis Worms, Lewis E. and Corrine I. Worms Trust
Claimant Lawyers(s): Stephen H. Marcus
Respondent(s): J.P. Turner & Company
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Carolyn V. Quadt, Vincent J. Natoli, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 07-01426 | 12/21/2007 | Claimant(s): Kerry Meyer, William Kreyenhagen
Claimant Lawyers(s): Lori A. Ross
Respondent(s): Robert Hogsette, Dawson Corporation, Ltd., Dawson Wealth Management Agency., Multi-Financial Securities.
Respondent Lawyers(s): Marion H. Little
Arbitrator(s): Charles D. Underwood
Hearing Site: Cincinnati, OH
| | $37,154 |
| 06-03130 | 12/21/2007 | Claimant(s): William Burke
Claimant Lawyers(s): Donald G. McGrath
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Eugene M. Setel, Keith A. Maier, Kathleen Fay Smith
Hearing Site: Buffalo, NY
| | $0 |
| 07-01027 | 12/21/2007 | Claimant(s): Margaret Welch
Claimant Lawyers(s): Margaret Ann Welch
Respondent(s): Morgan Stanley DW Inc., Robert Glover
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Charles R. Tindell, William H. Fleece, Elwood Henry Weilage
Hearing Site: Orlando, FL
| | $0 |
| 07-01852 | 12/21/2007 | Claimant(s): Keith Kritikakos and Hollis L. Orvik
Claimant Lawyers(s): Keith A. Kritikakos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Ferdinand Schoch
Hearing Site: San Francisco, CA
| | $125 |
| 07-00410 | 12/20/2007 | Claimant(s): Issa Razzaghi
Claimant Lawyers(s): Issa Razzaghi
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Richard B. Davis
Arbitrator(s): Larry Edmonson
Hearing Site: Los Angeles, CA
| | $7,500 |
| 06-00429 | 12/20/2007 | Claimant(s): Marvice Dodds, Mary Dodds, Dodds Body Works., Marvice & Mary Dodds TTEE Dodds
Claimant Lawyers(s): Francis A. Kovacs
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Joseph L. Larrinaga
Arbitrator(s): Susan K. Hollenbach, Mary D. Stevenson, Richard R. Edmister
Hearing Site: Columbus, OH
| | $0 |
| 07-00023 | 12/20/2007 | Claimant(s): John Coates
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Michael Palmieri, Salomon Grey Financial Corporation
Respondent Lawyers(s): Kyle Rowe, Michael C. Palmieri
Arbitrator(s): Robert L. Nisely
Hearing Site: New York, NY
| | $0 |
| 05-00581 | 12/19/2007 | Claimant(s): Elizabeth Trombly, Helene Williamson, Robert Williamson, Sande Alessi
Claimant Lawyers(s): Elizabeth Trombly, Helene Williamson, Robert Williamson, Sande Alessi
Respondent(s): Bradford Phillips, Lindsey Riley, FAS Holdings., First Allied Securities.
Respondent Lawyers(s): Eric J.F. Redwine
Arbitrator(s): Gerald A. Koris, Robert E. Lawson, Mason A. Dinehart
Hearing Site: Los Angeles, CA
| | $0 |
