| 08-00391 | 03/19/2009 | Claimant(s): Ralph MacNaughton
Claimant Lawyers(s): John J. Miller
Respondent(s): Dayton Ault, John Carlson, Capital Financial Services.
Respondent Lawyers(s): Jeffrey S. Jamieson, W. Perry Brandt
Arbitrator(s): M. W. Gear, Joseph M. Rebein, Dale C. Putman
Hearing Site: Kansas City, MO
|  | Stipulated Award and Expungement |
| 08-01584 | 03/19/2009 | Claimant(s): Donna Main
Claimant Lawyers(s): Donna Main
Respondent(s): Wachovia Securities, Gerald Morris
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Dennis A. Torres
Hearing Site: Los Angeles, CA
| | $0 |
| 07-03481 | 03/18/2009 | Claimant(s): Jeannette Johnson
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): Jesse Gomez
Respondent Lawyers(s): Jesse Gomez
Arbitrator(s): William J. Petzel
Hearing Site: San Francisco, CA
| | $64,663 |
| 08-03100 | 03/18/2009 | Claimant(s): Jay Ryckman
Claimant Lawyers(s): Jay H. Ryckman
Respondent(s): Joseph Stevens & Co..
Respondent Lawyers(s): Michael C. Farkas
Arbitrator(s): Irene C. Warshauer
Hearing Site: New York, NY
| | $233 |
| 07-01083 | 03/17/2009 | Claimant(s): Terry L. Haines and Jimmy H. Haines
Claimant Lawyers(s): David Liebrader
Respondent(s): Christopher Zockoll, James Catledge
Respondent Lawyers(s): Phillip R. Emerson, Todd M. Touton
Arbitrator(s): Victoria E. Johnson, Philip H. Marmurowski, Gregory B. Wood
Hearing Site: Las Vegas, NV
| | $129,503 |
| 07-00977 | 03/17/2009 | Claimant(s): James Martin, Estate of Barbara Martin
Claimant Lawyers(s): Neil W. Yahn
Respondent(s): Citigroup Global Markets., Ronald Wetzel
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Dean L. Scarpa, John L. Braxton, Allen M. Kerpan
Hearing Site: Philadelphia, PA
| | $1 |
| 08-02899 | 03/17/2009 | Claimant(s): Irene O'Mara
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Ronald L. Cheney, Melinda S. Milberg, Norman Foxman
Hearing Site: Manchester, NH
| | $0 |
| 07-02067 | 03/16/2009 | Claimant(s): Dennis Brooks
Claimant Lawyers(s): Richard D. Brady
Respondent(s): Adam Sclafani, Angel Suarez
Respondent Lawyers(s): Angel L. Suarez, Brian H. Reis
Arbitrator(s): H. Yancey Reser, Lisa E. Schuchman, Judith Hill Henderson
Hearing Site: Seattle, WA
| | $8,704 |
| 07-02751 | 03/16/2009 | Claimant(s): Santiago Reyes, Mateo Holdings Inc.
Claimant Lawyers(s): Mark F. Raymond
Respondent(s): Spencer Trask Ventures.
Respondent Lawyers(s): Richard Roth
Arbitrator(s): Sanford M. Naiditch, Jonathan E. Perlman, Daniel P. Lund
Hearing Site: Miami, FL
| | $100,000 |
| 08-01696 | 03/16/2009 | Claimant(s): Cynthia Loughman, Philip Loughman
Claimant Lawyers(s): Cynthia L. Loughman, Philip G. Loughman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Donald W. Diones, Charles G. Michaels, Federico C. Alvarez
Hearing Site: Denver, CO
| | $0 |
