| 07-00818 | 08/22/2007 | Claimant(s): David Sepanik, Mary Sepanik
Claimant Lawyers(s): David Edward Sepanik, Mary Ann Sepanik
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Stewart C.W. Weiner
Hearing Site: Detroit, MI
|  | $325 |
| 07-00567 | 08/20/2007 | Claimant(s): Quinn R. and Ann D. Owen JTWROS
Claimant Lawyers(s): Quinn R. Owen
Respondent(s): Brian Sanders, Christopher Atteo, Clayton Sontag
Respondent Lawyers(s): Christopher B. Atteo, Norman B. Arnoff
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
| | Expungement |
| 05-01456 | 08/17/2007 | Claimant(s): Victoria Landseadal
Claimant Lawyers(s): David M. Gilmore
Respondent(s): Victor Tokach, E.S. Hope Financial
Respondent Lawyers(s): Victor Tokach
Arbitrator(s): John C. Lees, Peter D. Brennan, Michael D. Briggs
Hearing Site: San Diego, CA
| | $18,972 |
| 06-03551 | 08/17/2007 | Claimant(s): Amy Bakowski
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Broad Street Securities., Leonard & Company, McClellan Capital
Respondent Lawyers(s): David A. Sebastian, Stephen B. Wexler, The Company President
Arbitrator(s): Norman A. Samson, Mark Scarr, Lee Hornberger
Hearing Site: Detroit, MI
| | $0 |
| 07-00385 | 08/17/2007 | Claimant(s): Ana Vasquez
Claimant Lawyers(s): Ricardo A. Bracamonte
Respondent(s): Chase Investment Services Corp., J.P. Morgan Securities Inc
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Howard W. Shannon, Joe S. Tarrer, Linda M. Parker
Hearing Site: Phoenix, AZ
| | $0 |
| 07-00397 | 08/17/2007 | Claimant(s): Gerry Kessler
Claimant Lawyers(s): Howard W. Hirschhorn
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Robert M. Zimmerman
Arbitrator(s): Mark R. Lee, John N. Reidy, Albert J. Haller
Hearing Site: St. Louis, MO
| | $0 |
| 03-05404 | 08/16/2007 | Claimant(s): Melvin Wong
Claimant Lawyers(s): Melvin Wong
Respondent(s): Wedbush Securities Inc., Richard Au
Respondent Lawyers(s): Gary Holmes
Arbitrator(s): David F. Bello, Walter H. Ikeda, Karen Char
Hearing Site: Honolulu, HI
| | $0 |
| 07-00973 | 08/16/2007 | Claimant(s): Delia Vega
Claimant Lawyers(s): Jeffrey M. Gershon
Respondent(s): Jose Lopez, Oberweis Securities.
Respondent Lawyers(s): Joseph C. Wylie
Arbitrator(s): Thomas S. Wallace
Hearing Site: Chicago, IL
| | $0 |
| 05-02554 | 08/15/2007 | Claimant(s): Frances Heaton
Claimant Lawyers(s): Kirk Reasonover
Respondent(s): Hibernia Investments, L.L.C.
Respondent Lawyers(s): Nancy Scott Degan
Arbitrator(s): Ron C. Christner, Dale A. Kaliszeski, W. Patrick Baker
Hearing Site: New Orleans, LA
| | $7,664 |
| 05-04107 | 08/15/2007 | Claimant(s): R. Smith, Shirley Smith
Claimant Lawyers(s): Lee B. Rowell
Respondent(s): Fred Porter, Edward Jones
Respondent Lawyers(s): John P. Sneed
Arbitrator(s): Leonard E. Benade
Hearing Site: Jackson, MS
| | $0 |
