| 05-06249 | 03/09/2009 | Claimant(s): Kathy Turner, Estate of Olivia Frase
Claimant Lawyers(s): Kathy Turner
Respondent(s): John Carlson, John Turner, R. Wood, J.W. Cole Financial., Jonathan Roberts Financial Group.
Respondent Lawyers(s): Clifford J. Hunt, Norman B. Arnoff
Arbitrator(s): Sarah G. Anderson, William H. Malloy, Robert A. Ames
Hearing Site: Charlotte, NC
|  | Expungement |
| 07-01521 | 03/09/2009 | Claimant(s): Robert Shepherd
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Marshall Field, Emmett A Larkin Company., Southwest Securities.
Respondent Lawyers(s): Brandon S. Reif, Jonathan D. Neerman, Marshall Field
Arbitrator(s): William J. Adams, Arthur T. Berggren, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | Expungement |
| 07-01839 | 03/09/2009 | Claimant(s): Shannon Miller
Claimant Lawyers(s): Shannon C. Miller
Respondent(s): WAMU Investments., Paul Budnek
Respondent Lawyers(s): Keith A. Ketterling
Arbitrator(s): Elizabeth L. Morrison, Judith A. Cochrane, Nancy J. Highness
Hearing Site: Seattle, WA
| | $14,880 |
| 08-00259 | 03/09/2009 | Claimant(s): Jonathan Zarate
Claimant Lawyers(s): Jason A. Richardson
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Anthony William (Bill) Kashouty, Lawrence R. Maxwell, Larry N. Quinn
Hearing Site: Dallas, TX
| | $37,118 |
| 08-00716 | 03/09/2009 | Claimant(s): Donal Demet, Mary Demet
Claimant Lawyers(s): Paul R. Erickson
Respondent(s): Robert W. Baird & Co. Incorporated, Richard Cudahy, Thomas Linn
Respondent Lawyers(s): Gregory G. Wille
Arbitrator(s): Lawrence Tepper, Donald E. Sorensen, Michael D. Kugler
Hearing Site: Milwaukee, WI
| | $5,000 |
| 08-01724 | 03/09/2009 | Claimant(s): Lawson Software Americas.
Claimant Lawyers(s): Bruce McPheeters
Respondent(s): Dana Hanley
Respondent Lawyers(s): Dana M. Hanley
Arbitrator(s): Thomas J. Gmeinder, Kerry C. Koep, David A. Peterson
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
| 07-02490 | 03/09/2009 | Claimant(s): Pueblo of Zuni
Claimant Lawyers(s): Mario J. Martinez
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Patrick J. Halter, Frederick K. Steiner, William J. Kenna
Hearing Site: Albuquerque, NM
| | $0 |
| 07-03051 | 03/09/2009 | Claimant(s): Sylvia Vall
Claimant Lawyers(s): Sylvia Vall
Respondent(s): Domenic Accetta, Putnam Retail Management Limited Partner
Respondent Lawyers(s): Jason S. Pinney, MIchael R. Weissmann
Arbitrator(s): James S. Martin
Hearing Site: San Francisco, CA
| | $0 |
| 07-02872 | 03/05/2009 | Claimant(s): Douglas Strayer, Julie Strayer
Claimant Lawyers(s): Julie D. Strayer
Respondent(s): Wachovia Securities, John Brady
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Sandra Lee Dolan, Wilbert H. Luck, John Laing Bowles
Hearing Site: Baltimore, MD
| | Stipulated Award and Expungement |
| 07-03412 | 03/05/2009 | Claimant(s): Aimee Mason-Hobbins
Claimant Lawyers(s): James S. Helfrich
Respondent(s): Derek Kent, Sagepoint Financial.
Respondent Lawyers(s): Gene R. Thornton, William D. Nelson
Arbitrator(s): Robert C. Roth, Bruce Brown, Michael A. Ruderman
Hearing Site: Denver, CO
| | $509,800 |
