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 |
06-02864 | 08/15/2007 | Claimant(s): Sheldon Spitz, Sheldon and Olivia Spitz, Spitz Family Partnership Claimant Lawyers(s): Seth Muraskin Respondent(s): Jeffrey Harriton, TimeCapital Securities Corporation Respondent Lawyers(s): Charles M. O'Rourke Arbitrator(s): Eric P. Nachman, Rory M. McLaughlin, Philip S. Wellman Hearing Site: New York, NY
| | $0 |
06-05183 | 08/13/2007 | Claimant(s): Linda Hale Claimant Lawyers(s): Neil B. Solomon Respondent(s): OptionsXpress. Respondent Lawyers(s): Hillary Victor Arbitrator(s): Bernard A. Taub, Kevin S. Doty, Allen Robin Hearing Site: Boca Raton, FL
| | $175,000 |
07-00223 | 08/13/2007 | Claimant(s): Richard Caris Claimant Lawyers(s): Robert D. Mitchell Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Joseph L. Hood Arbitrator(s): Marc Kalish, Robert W. Bruns, Curtis L. Ritland Hearing Site: Phoenix, AZ
| | $690,430 |
03-02289 | 08/13/2007 | Claimant(s): Sandra Murray, Charles G. & Sandra Murray Living Trus Claimant Lawyers(s): Sandra Murray Respondent(s): Andrew Fairchild, J.P. Morgan Clearing Corp., A.G. Edwards & Sons., Ronald Kabat, PMG Securities Corporation Respondent Lawyers(s): Andrew J. Fairchild, Henry Wang, Jeffrey W. Coverdell, Ronald S. Kabat Arbitrator(s): Robin Lynn Berry, Jonathan H. Krotinger, Bradley C. Mitchell Hearing Site: San Francisco, CA
| | $0 |
04-04516 | 08/13/2007 | Claimant(s): Andrew Warshaw, Florence Rosenwein, George Whalen, Lorraine Whalen, Louis Rosenwein, Meredith Rosenwein, Sari Rosenwein, M. Rosenwein cust. Robert Rosenwein, Sari R. Rosenwein Cust Sydney Warshaw, Sari Rosenwein Cust. for Seth Warshaw, G. Whalen FBO Meredith Rosenwein, Lorraine Reich Whalen Trust, M. Rosenwein FBO M. Rosenwein, et al., M. Rosenwein TTEE FBO Jordan Rosenwein, M. Rosenwein TTEE FBO Robert Rosenwein Claimant Lawyers(s): Mark M. Rottenberg Respondent(s): Morgan Stanley DW Inc. Respondent Lawyers(s): James Lico Arbitrator(s): Louis H. Miron, Mary L. Merkle, Joel P. Mellis Hearing Site: New York, NY
| | $0 |
05-06076 | 08/10/2007 | Claimant(s): Saralyn Ingram Claimant Lawyers(s): Robert Grant Respondent(s): Ameriprise Financial Services., Kenneth DiCairano Respondent Lawyers(s): Michael Zaretsky Arbitrator(s): Martin H. Zern, Mary Ellen Burns, Eric Howard Kunis Hearing Site: New York, NY
| | $0 |
03-07616 | 08/09/2007 | Claimant(s): Darren Gryniuk Claimant Lawyers(s): David S. Markun Respondent(s): Citigroup Global Markets., Jack B. Grubman, Kevin Keating Respondent Lawyers(s): Jennifer M. Blunt Arbitrator(s): Samuel A. Alward, Karen V. Cunningham, Kelli J. Jareaux Hearing Site: Washington, DC
| | Stipulated Award and Expungement |
06-02006 | 08/09/2007 | Claimant(s): Peter Connelly Claimant Lawyers(s): Joe D. Jacobson Respondent(s): Nathaniel Clay, Wayde Walker, Casimir Capital L.P. Respondent Lawyers(s): Jordan M. Kam Arbitrator(s): John E. Sundeen, Joseph D. Sheppard, Gregory B. Allen Hearing Site: Kansas City, MO
| | Stipulated Award and Expungement |
06-02899 | 08/09/2007 | Claimant(s): Vincent Tribo Claimant Lawyers(s): Helen B Bloch Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Donald P. Wray Arbitrator(s): Stuart M. Widman, Sheldon I. Saitlin, Thomas E. Haviland Hearing Site: Chicago, IL
| | $0 |