| 08-01254 | 02/26/2009 | Claimant(s): Andrew Hoh
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Leon Henderson, Donald Cornelius Morrison, Donald L. Horowitz
Hearing Site: Raleigh, NC
|  | $92,263 |
| 08-00023 | 02/26/2009 | Claimant(s): Frances Modica, Rosario Modica
Claimant Lawyers(s): James A. Prestiano
Respondent(s): Troy Gagliardi
Respondent Lawyers(s): Ryan P. Farley
Arbitrator(s): Paul Weinberg, Joseph M. Buffone, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 08-02037 | 02/26/2009 | Claimant(s): Jessie Goff
Claimant Lawyers(s): Jessie E. Goff
Respondent(s): Wachovia Securities, David Cronan, A.G. Edwards & Sons.
Respondent Lawyers(s): Steven L. Satter
Arbitrator(s): Enrico A. Mazzoli
Hearing Site: Louisville, KY
| | $213 |
| 06-05218 | 02/25/2009 | Claimant(s): Agisilaos Cofinas, Fernando Canotilho De Sousa, Fordhill Services Ltd., Global Ocean Int'l Investments, Ltd., Athanassia Vlahaki and Nikolaidis Laza, Ioannis and Sofia Allagiannis
Claimant Lawyers(s): David P. Heim
Respondent(s): Sterling Financial Investment Group,In
Respondent Lawyers(s): Joshua Bleil
Arbitrator(s): Brian F. Amery, Anthony J. Hom, Cecilia B. Loving
Hearing Site: New York, NY
| | $5,232,730 |
| 08-00039 | 02/24/2009 | Claimant(s): James McCarver
Claimant Lawyers(s): Jeffrey A. Backman
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): William F. Glaser, Marshall Felton Wright, Richard A. Rudolph
Hearing Site: Tampa, FL
| | $100,000 |
| 08-00366 | 02/24/2009 | Claimant(s): The Kopel Family Fdtn Charitable Rem Tr
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Keegan & Company., Regions Financial Corp.
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): Robert L. Hudson, Horace A. Andrews, John Morris Hudson
Hearing Site: Orlando, FL
| | $0 |
| 08-00757 | 02/24/2009 | Claimant(s): Peter Bennett, Peter J. Bennett IRA
Claimant Lawyers(s): Keith L. Griffin, Steven B. Caruso
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Dale A. Kaliszeski, Donald Milo Helton, Alton B. Lewis
Hearing Site: New Orleans, LA
| | $0 |
| 08-00294 | 02/23/2009 | Claimant(s): Richard Rovnick, Robert Kotler, Robert Lubar, Ronald Sheldon, Sidney Oko, Drs. Adilman,Katin,Lubar Ltd. Profit Shr, M.D.. Profit Sharing, Ronald Sheldon Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Andrew Shapiro, Donald Hunter, Edward Taylor, Gregory Martino, Michael Baker, Westrock Advisors.
Respondent Lawyers(s): Robert a. Giacovas
Arbitrator(s): Vincent J. Natoli, Michael M. Hachigian, Troy C. Sumrall
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 06-05031 | 02/20/2009 | Claimant(s): Barbara Zickler IRA
Claimant Lawyers(s): Justin R. Sawyer
Respondent(s): Brookstreet Securities Corporation
Respondent Lawyers(s): Thomas H. Fehn
Arbitrator(s): James B. Vessey, Peter J. Broullire, Edward Allan Hindman
Hearing Site: Albuquerque, NM
| | Stipulated Award |
| 08-00521 | 02/20/2009 | Claimant(s): Stephanie Pinto, Stephanie Pinto TTEE for Pinto Family, Stephanie Pinto TTEE of Stephen Gambino
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Daniel M. Mankowski, Ralph L. Halpern, Ronald Ripstein
Hearing Site: Buffalo, NY
| | $0 |
