| 07-03133 | 10/01/2008 | Claimant(s): Deborah Soden Rowe, Eugene Soden, Estate of Eugene Vincent Soden, Jr.
Claimant Lawyers(s): E. Ray Stanford
Respondent(s): Irene Soden, Scottrade.
Respondent Lawyers(s): Abraham A. Sharony, F. Carlton King
Arbitrator(s): Robert H. Putnam, James J. Dalton, Daniel H. Kolber
Hearing Site: Atlanta, GA
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| 06-04200 | 10/01/2008 | Claimant(s): Barbara Lerner
Claimant Lawyers(s): Lisa Catalano
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): J. Martin McDonough, Richard S. Peskin, Linda G. March
Hearing Site: New York, NY
| | $0 |
| 07-02475 | 09/29/2008 | Claimant(s): William Capogrosso
Claimant Lawyers(s): Mario H. Capogroso
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Carroll E. Neesemann, Michael P. Golden, Kip C. Lubcke
Hearing Site: New York, NY
| | $0 |
| 07-00601 | 09/26/2008 | Claimant(s): Patrick Fitzpatrick
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Cathy Dickens, Natcity Investments.
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Patrick R. Sughroue, Burton L. Ansell, Charlotte K. Varzi
Hearing Site: Detroit, MI
| | $0 |
| 07-02676 | 09/24/2008 | Claimant(s): Sophie Rothstein
Claimant Lawyers(s): Edward Rothstein
Respondent(s): Joel Chase, UBS Financial Services Inc., Richard Fitzburgh
Respondent Lawyers(s): Dan A. Rosenbaum, Danl A. Rosenbaum
Arbitrator(s): Vicki R. Lawrence, Sandra J. Mullings
Hearing Site: New York, NY
| | $0 |
| 07-03047 | 09/23/2008 | Claimant(s): Lisa Cavaliere
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Thomas P. Briody
Arbitrator(s): Aaron Friedman, Robert A. Vaccaro, William E. Nuckel
Hearing Site: New York, NY
| | $0 |
| 07-03225 | 09/22/2008 | Claimant(s): Elinor Nielsen, James Nielsen, James & Elinor Nielsen Living Trust
Claimant Lawyers(s): Kristin M. Cano
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Curt H. Mueller
Arbitrator(s): Barbara M. Zak, Mark A. Levy, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
| | $304,478 |
| 05-06675 | 09/22/2008 | Claimant(s): Don Hutcherson, IRA, Don and Eleanor J. Hutcherson
Claimant Lawyers(s): Hardin R. Ramey
Respondent(s): Craig Bonn, Martin Sands, Steven Sands, Laidlaw & Company (UK)LTD., Sands Brothers & Co., Ltd.
Respondent Lawyers(s): Clint A. Corrie
Arbitrator(s): Phillip Lee Scheldt, Charles T. Dix, Anthony William (Bill) Kashouty
Hearing Site: Dallas, TX
| | $0 |
| 07-03094 | 09/22/2008 | Claimant(s): Samuel Cole dba csafinancials.com
Claimant Lawyers(s): Samuel Cole
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): Steven P. Gregory, David T. Maddux, Frank E. Barnett
Hearing Site: Nashville, TN
| | $0 |
| 07-03138 | 09/15/2008 | Claimant(s): Andrew Garrett.
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Lester Wackernah
Respondent Lawyers(s): Lester Wackernah
Arbitrator(s): Irwin Kahn
Hearing Site: New York, NY
| | $0 |
