| 08-01202 | 10/07/2008 | Claimant(s): Patricia A. Goundry, Robert J. Goundry
Claimant Lawyers(s): Patricia Goundry, Robert Goundry
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James Vihstadt
Arbitrator(s): Philip B. Whitaker
Hearing Site: Albuquerque, NM
|  | $1,000 |
| 07-01783 | 10/06/2008 | Claimant(s): Pamela Schmidt, Pamela A. Schmidt Trust
Claimant Lawyers(s): Thomas P. Swigert
Respondent(s): Raymond James Financial Services., Thomas Shian
Respondent Lawyers(s): Erin Linehan, Thomas Shian
Arbitrator(s): Emily F. Seesel, Paul J. Hennen, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $145,300 |
| 07-00998 | 10/06/2008 | Claimant(s): Ed L.Gueth Sr. and Sandy L. Gueth
Claimant Lawyers(s): Ed L. Gueth
Respondent(s): Ameriprise Financial Services., Joan Coke
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Robert Finder
Hearing Site: Orlando, FL
| | $0 |
| 07-01775 | 10/06/2008 | Claimant(s): Elizabeth Burnell, Estate of Brian Burnell
Claimant Lawyers(s): John Hanzel
Respondent(s): Frank Black, Southeast Investments, N.C..
Respondent Lawyers(s): Frank H. Black
Arbitrator(s): Lynne T. Albert, Leslie R. Berro, Richard E. Miley
Hearing Site: Charlotte, NC
| | $0 |
| 07-02886 | 10/06/2008 | Claimant(s): Sherpa Fund
Claimant Lawyers(s): John R. Fahy
Respondent(s): Robert Gioia, AFS Brokerage.
Respondent Lawyers(s): Donald C. Hurwitz, Robert Gioia
Arbitrator(s): Peter J. Conlon, John Courtade, Maryanne M. Esser
Hearing Site: Dallas, TX
| | $0 |
| 05-00756 | 10/03/2008 | Claimant(s): Antonio Benedi
Claimant Lawyers(s): Antonio Benedi Sarria
Respondent(s): Jorge Naval, Pablo Guerrero, Paul Casella, Milestone Group Management
Respondent Lawyers(s): Compliance Officer, Jorge Naval, Pablo Guerrero, Paul Jude Casella
Arbitrator(s): Linda T. Pellegrino, Rick F. Suppa, Joseph H. Cerame
Hearing Site: New York, NY
| | $50,808 |
| 06-02530 | 10/03/2008 | Claimant(s): Joseph A., and Judith A. Franko
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Jill A Guldin
Arbitrator(s): John B. Ryan, Julian F. Santos, Piedad A. Bernikow
Hearing Site: Philadelphia, PA
| | $300 |
| 06-05247 | 10/02/2008 | Claimant(s): Cheryl Symmes
Claimant Lawyers(s): Mark Thomas Sophocles
Respondent(s): Goldman, Sachs and Company, Todd Silaika
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Robert R. Barker, Robert L. Chase, Philip S. Walker
Hearing Site: New York, NY
| | Expungement |
| 07-03069 | 10/02/2008 | Claimant(s): Jeffrey Nielsen, Evans Creek, Guaranty Escrow Of MN., Hidden Glade Properties
Claimant Lawyers(s): James K. Langdon
Respondent(s): Darin Beckering, Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Mark S. Gleason, Lee T. Beske, Arthur Richard Tow
Hearing Site: Minneapolis, MN
| | $542,340 |
| 08-00566 | 10/02/2008 | Claimant(s): Abraham Medina, Amdas.
Claimant Lawyers(s): Abraham B. Medina
Respondent(s): John Parmley, Scottrade.
Respondent Lawyers(s): Ryan M. Blum
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | $0 |
