| 07-03550 | 08/12/2008 | Claimant(s): Jack Heide
Claimant Lawyers(s): Jack Heide
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Philip R. Lochner
Hearing Site: New York, NY
|  | $0 |
| 08-00746 | 08/11/2008 | Claimant(s): Edwin Lee, Michelle Lee
Claimant Lawyers(s): Edwin Lee
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Charles Ajamian
Hearing Site: Newark, NJ
| | $1,233 |
| 07-01912 | 08/11/2008 | Claimant(s): The Estate of Leonard D. Miles,, Marian J. Miles IRA, Leonard D. Miles and Marian J. Miles, Marian J. Miles Family Trust
Claimant Lawyers(s): William B. Young
Respondent(s): MidSouth Capital.
Respondent Lawyers(s): Thomas R. Todd, Jr
Arbitrator(s): Brian G. Mooney, Robert L. Hudson, Glenn W. Wheelock
Hearing Site: Orlando, FL
| | $225 |
| 07-02956 | 08/08/2008 | Claimant(s): Isidore Fields and Dolores Fields
Claimant Lawyers(s): Isidore Fields
Respondent(s): Chase Investment Services Corp., Loren Bailey, Nicholas Manchisi
Respondent Lawyers(s): Sheila E. Carson
Arbitrator(s): Walter A. Kapuscinski, Kenneth J. Horowitz, S. Charles Tabak
Hearing Site: Newark, NJ
| | $0 |
| 07-03305 | 08/08/2008 | Claimant(s): Gary Stibel
Claimant Lawyers(s): Patrick R. Smith
Respondent(s): Citadel Derivatives Group LLC
Respondent Lawyers(s): Michael S. Weisman
Arbitrator(s): Ernest Fanwick
Hearing Site: Hartford, CT
| | $0 |
| 08-00157 | 08/07/2008 | Claimant(s): Samuel Short
Claimant Lawyers(s): Samuel P. Short
Respondent(s): James Kelsoe, Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Donald Milo Helton
Hearing Site: Birmingham, AL
| | $15,425 |
| 06-05306 | 08/07/2008 | Claimant(s): Gustavo Vildosola Castro, Lorenza de Vildosola, Gustavo Vildosola & Lorenza Ramos de V
Claimant Lawyers(s): Richard A. Heller, Vincent D. Slavens
Respondent(s): Citigroup Global Markets., Juan Cabanas-Vildosola, UBS Financial Services Inc.
Respondent Lawyers(s): Gilbert R. Serota, Samuel A. Keesal
Arbitrator(s): Guenter S. Cohn, Doris V. Knotter, James Paul Estes
Hearing Site: San Diego, CA
| | $0 |
| 07-03416 | 08/07/2008 | Claimant(s): Sonia Moriarty
Claimant Lawyers(s): Sonia L Moriarty
Respondent(s): Edward Jones
Respondent Lawyers(s): Kimber Monroe
Arbitrator(s): Karla Y. Vogel
Hearing Site: Atlanta, GA
| | $0 |
| 07-02835 | 08/06/2008 | Claimant(s): Susan Clark
Claimant Lawyers(s): Jerrold Wanek
Respondent(s): Douglas Reese, Edward Jones
Respondent Lawyers(s): Lynette McCloud
Arbitrator(s): Carl G. Mohr
Hearing Site: Des Moines, IA
| | $175 |
| 07-00302 | 08/05/2008 | Claimant(s): Abdul Manjee, Azim Manjee, Nawab Manjee, Prince Manjee, Zeb Manjee, ARM-S Electric.
Claimant Lawyers(s): Greg A Adamski
Respondent(s): Craig Blue, Gregory Gilmore, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Robert H. Springer, Richard H. Potter, F. Wesley Bowers
Hearing Site: Indianapolis, IN
| | Stipulated Award and Expungement |
