| 08-00107 | 10/23/2008 | Claimant(s): Harold Wallace Trust
Claimant Lawyers(s): Neil T. Wallace
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Jeremy M. Colvin
Arbitrator(s): George G. Kurschner
Hearing Site: Ft. Lauderdale, FL
|  | $125 |
| 08-00487 | 10/23/2008 | Claimant(s): Mark Christofaro
Claimant Lawyers(s): Pamela E. Berman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Dennis C. Cronin, Michael P. Anciello, Arnold M. Marrow
Hearing Site: Providence, RI
| | $0 |
| 08-00627 | 10/21/2008 | Claimant(s): Reid & Rudiger LLC
Claimant Lawyers(s): Joel S. Forman
Respondent(s): Ronald Williams
Respondent Lawyers(s): Ronald L. Williams
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | $0 |
| 03-02903 | 10/21/2008 | Claimant(s): Charles Raulerson
Claimant Lawyers(s): Patrick Baldwin
Respondent(s): Barbara Ralston, Charles Lazzaro, John Openshaw, First Wall Street Corp.
Respondent Lawyers(s): Christopher Mader, Jeffrey S. Kob
Arbitrator(s): Walter F. Dillaway, Mary Margaret Bush, Joseph M. O'Connor
Hearing Site: San Francisco, CA
| | Expungement |
| 07-02794 | 10/21/2008 | Claimant(s): Annika Clark
Claimant Lawyers(s): Steven M. Feder
Respondent(s): Derek Kent, Sagepoint Financial.
Respondent Lawyers(s): Gene R. Thornton, William D. Nelson
Arbitrator(s): Robert D. Greenlee, John E. Plock, Bernard A. Clark
Hearing Site: Denver, CO
| | $549,918 |
| 08-03685 | 10/21/2008 | Claimant(s): David Haines, Nancy Haines
Claimant Lawyers(s): Mike Deutsche
Respondent(s): Christopher Corso, CAC Capital Corp.
Respondent Lawyers(s): Christopher A. Corso, Christopher Anthony Corso
Arbitrator(s): James A. Sigler
Hearing Site: Los Angeles, CA
| | $871,220 |
| 08-00997 | 10/21/2008 | Claimant(s): Ursula Marquardt
Claimant Lawyers(s): Paul Marquardt
Respondent(s): Ameriprise Financial Services., Mark Massaro
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Elizabeth K. Norsworthy
Hearing Site: Buffalo, NY
| | $38 |
| 07-03474 | 10/20/2008 | Claimant(s): Alan Lehman
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Howard Corum, Chicago Investment Group
Respondent Lawyers(s): Elizabeth Neugent Dixon
Arbitrator(s): Judith E. Gross, Clarence Smith, Cheryl H. Agris
Hearing Site: New York, NY
| | $155,000 |
| 08-00335 | 10/20/2008 | Claimant(s): Ray D. Colter, Jr. and Ruth Colter
Claimant Lawyers(s): David Newman
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Edward B. Scott, Mark A. Myers, Richard J. Clement
Hearing Site: Jackson, MS
| | $0 |
| 07-03192 | 10/17/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Joseph Frasko
Respondent Lawyers(s): Joseph Frasko
Arbitrator(s): Sam Antar
Hearing Site: New York, NY
| | $0 |
