08-02640 | 08/10/2009 | Claimant(s): Virginia G. Stevens & Ben R. Stevens Claimant Lawyers(s): James C. Alison Respondent(s): Gerald Hester, Colonial Brokerage. Respondent Lawyers(s): Larry B. Childs Arbitrator(s): Steven P. Gregory, Randy J. Johnston, Debra Black Leo Hearing Site: Birmingham, AL
| | $0 |
08-04942 | 08/10/2009 | Claimant(s): Michael Leonard Claimant Lawyers(s): Michael W. Leonard Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Andrew Lipton Arbitrator(s): James P. McCrocklin Hearing Site: Louisville, KY
| | $0 |
08-03925 | 08/07/2009 | Claimant(s): W.D. David Claimant Lawyers(s): J. Pat Sadler Respondent(s): Man Financial. Respondent Lawyers(s): Philip Tanzar Arbitrator(s): William Edmund Burke, Daniel E. Gulden, Arthur Thomas Stephenson Hearing Site: Atlanta, GA
| | $90,000 |
08-00472 | 08/06/2009 | Claimant(s): Donald Halfmann, Patricia Halfmann Claimant Lawyers(s): John J. Miller Respondent(s): VFinance Investments. Respondent Lawyers(s): Adam H. Smith Arbitrator(s): Michael D. Fitzgerald, Michael A. Kleinman, Robert John McElwain Hearing Site: Kansas City, MO
| | $759,800 |
08-01600 | 08/06/2009 | Claimant(s): James Bach, James Bach Rev. Living Trust UAD 11/4/93 Claimant Lawyers(s): Steve J. Gard Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Richard C. Szuch Arbitrator(s): George R. Canty, Seth L. Finkel, Andrew David Kahng Hearing Site: Miami, FL
| | $250,000 |
08-04585 | 08/06/2009 | Claimant(s): Harold Kozupsky, Jeanette Kozupsky, Harold and Jeanette Kozupsky, IRA, Harold Kozupsky and Jeanette Kozupsky Claimant Lawyers(s): Jenice L. Malecki Respondent(s): George Gladman, Ronald Slevin, RBC Dain Raucher Respondent Lawyers(s): Joel E. Davidson Arbitrator(s): John F. Duane, Alvin Green, James D. Yellen Hearing Site: New York, NY
| | Stipulated Award and Expungement |
08-03607 | 08/06/2009 | Claimant(s): Scottrade. Claimant Lawyers(s): Thomas L. Azar Respondent(s): Elisei Chereji Respondent Lawyers(s): Joseph Soraghan Arbitrator(s): Albert J. Haller, David B. Lacks, Daniel J. Marsh Hearing Site: St. Louis, MO
| | $0 |
08-04271 | 08/05/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Steven G. Leventhal Respondent(s): Marvin Wolfman Respondent Lawyers(s): Marvin I. Wolfman Arbitrator(s): Linda Ashley Hearing Site: New York, NY
| | $0 |
07-02062 | 08/05/2009 | Claimant(s): Glen Stone, Sandra Stone Claimant Lawyers(s): Bruce D. Oakes Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): David E. Bamberger Arbitrator(s): Robert R. Nursey, Robert L. Chisolm, Robert J. Gregory Hearing Site: Dallas, TX
| | $0 |
08-04489 | 08/04/2009 | Claimant(s): Enrico Cassara Claimant Lawyers(s): Enrico Cassara Respondent(s): E*Trade Clearing LLC Respondent Lawyers(s): John Bersin Arbitrator(s): Fred S. Pieroni Hearing Site: Newark, NJ
| | $38 |