| 08-01561 | 01/02/2009 | Claimant(s): Camille Parrella
Claimant Lawyers(s): Karen J. Van Ingen
Respondent(s): Stifel, Nicolaus & Co.., John Gallagher, Ryan Beck & Co., Stifel Financial Corp.
Respondent Lawyers(s): Joseph C. Rosa
Arbitrator(s): Aaron Tyk
Hearing Site: New York, NY
|  | $0 |
| 07-03486 | 12/31/2008 | Claimant(s): Anthony Maccarone, Antoinette Maccarone, Steven Horn, Tara Horn
Claimant Lawyers(s): Stuart D. Meissner
Respondent(s): Julie Mains, Norman Malo, Scott Brooks, Stanley Brooks, Troy Gagliardi, Brookstreet Securities Corporation
Respondent Lawyers(s): Brian F. Amery, H. Thomas Fehn, Julie Brooks Mains, Ryan P. Farley, Scott Stanley Brooks, Stanley Clifton Brooks
Arbitrator(s): Richard S. Peskin, Michael J. Maran, Catherine Tinker
Hearing Site: New York, NY
| | $102,439 |
| 08-00040 | 12/31/2008 | Claimant(s): Cecilia Greenberg and Milton Greenberg
Claimant Lawyers(s): Seth Huberman
Respondent(s): Patrick Gaines
Respondent Lawyers(s): William Zeena
Arbitrator(s): Carl Shechter, Edwin J. Slovitt, C. Harold Schwartz
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 08-01259 | 12/31/2008 | Claimant(s): Gary Nanos
Claimant Lawyers(s): Bob Nanos
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paula M. McmManus
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | $1,922 |
| 08-02275 | 12/31/2008 | Claimant(s): Calvin Mehuron
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): William E. Nodine
Hearing Site: Tampa, FL
| | $14,665 |
| 08-01593 | 12/31/2008 | Claimant(s): Jeffrey Brown
Claimant Lawyers(s): Jeffrey D. Brown
Respondent(s): Chase Investment Services Corp., Lamon Jackson, Susan Vanspybrook
Respondent Lawyers(s): Sheila E. Carson
Arbitrator(s): William H. Morris
Hearing Site: Detroit, MI
| | $88 |
| 08-01853 | 12/31/2008 | Claimant(s): Morton & Edith Kimmel Rev. Living Trust
Claimant Lawyers(s): Morton Kimmel
Respondent(s): Kenneth Saunders, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Donald J. Spero
Hearing Site: Boca Raton, FL
| | $213 |
| 07-03163 | 12/30/2008 | Claimant(s): Robert Bonds and Gilda Bonds
Claimant Lawyers(s): Dan K. Worthington
Respondent(s): Ameriprise Advisor Services., Robert Bullock
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): W. Merrill Glasgow, Timothy L. Andrews, William A. Allen
Hearing Site: Houston, TX
| | Expungement |
| 08-00060 | 12/30/2008 | Claimant(s): Jack Ommert
Claimant Lawyers(s): James P. Graven
Respondent(s): Eric Jansson, James Bottoms, Raymond James Financial Services., JFB Planning Services.
Respondent Lawyers(s): Erin Linehan, Gary A. Barnes, James F. Bottoms
Arbitrator(s): Robert A. Vogler, Benjamin A. Kerner, Mayra Adela Rodriguez
Hearing Site: Detroit, MI
| | $0 |
| 06-05086 | 12/29/2008 | Claimant(s): Elizabeth Luster, Elizabeth S. Luster Trust
Claimant Lawyers(s): Daniel B. Spitzer
Respondent(s): Albert Gersh, Morgan Stanley DW Inc.
Respondent Lawyers(s): Eric Wallis, Wendy R. Robinson
Arbitrator(s): James H. Frank, Grace L. Heyne, Ted Paul Comfort
Hearing Site: Los Angeles, CA
| | $41,776 |
