| 07-02896 | 07/18/2008 | Claimant(s): OptionsHouse.
Claimant Lawyers(s): Milnor H. Senior
Respondent(s): Christopher Bateman
Respondent Lawyers(s): Christopher Bateman
Arbitrator(s): Holly Stein Sollod, Michael J. Norton, Dennis G. Kruse
Hearing Site: Denver, CO
|  | $0 |
| 07-00768 | 07/17/2008 | Claimant(s): Betty Gunn
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Jonathan Zulauf, Edward Jones
Respondent Lawyers(s): Peter B. Schaeffer, Richard P. Darke
Arbitrator(s): William H. Tobin, David J. Langseth, Stephen W. Mack
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 07-00796 | 07/17/2008 | Claimant(s): John Simon
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Arthur Lewis, CIBC World Markets Corp., Jeff Bank, Susan Sutherland
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): Gary M. Landau, Frances D. Sheehy, Jonathan H. Parker
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 00-05367 | 07/16/2008 | Claimant(s): Souad Widmeyer, Harry & Audrey Iverson
Claimant Lawyers(s): Souad Y. Widmeyer
Respondent(s): Cooke Christopher, Jeffrey Schwertfeger, Stoney Lee, Jeffco Financial Services
Respondent Lawyers(s): Clinton L. Hubbard, Cooke B. Christopher, Jeffrey A. Schwertfeger
Arbitrator(s): Alan Stamm, Richard C. Ramos, Charles Chazen
Hearing Site: Los Angeles, CA
| | $0 |
| 02-03841 | 07/15/2008 | Claimant(s): Jae C. Kim and Soon J. Kim
Claimant Lawyers(s): Jae C. Kim
Respondent(s): In Dong Oh, Rowe Park, Sae Chung, Yong Kim, Daehan Securities.
Respondent Lawyers(s): In Dong Oh, Jai Y. Son, Laura Park Chung, Rowe Park, Yong S. Kim
Arbitrator(s): Donald G. Gloisten, Stuart M. de Haaff, Mario H. Metzger
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 06-05148 | 07/15/2008 | Claimant(s): Mary Yearsley
Claimant Lawyers(s): J. L. Spray
Respondent(s): Brian Schuster, Capital Growth Financial, VSR Financial Services.
Respondent Lawyers(s): Brian J. Schuster, Jon M. Stanfield, Michael Jacobs
Arbitrator(s): Richard M. Duxbury, John P. Wright, Roger J. Miller
Hearing Site: Omaha, NE
| | $92,176 |
| 07-00957 | 07/15/2008 | Claimant(s): Robert Harth, Trustee for Elizabeth Ha
Claimant Lawyers(s): Edward J. Dimon
Respondent(s): Charles Faig, Wachovia Securities, Herbert Roemmele, Trina Mitsch
Respondent Lawyers(s): Ryan P. Smith
Arbitrator(s): Vernon C. Walker, Dennis C. Meyerson, E. William Pastor
Hearing Site: Philadelphia, PA
| | Stipulated Award and Expungement |
| 07-01864 | 07/15/2008 | Claimant(s): Estate of Lewis A. Scull, Jr.
Claimant Lawyers(s): Foster S. Goldman
Respondent(s): Andrew Kolenda, Carl Antonucci, Rick Pierchalski, William Berkowitz, 4th Street Investments, BP Investment Partners I LP, BP Investment Partners II LP, BP Investment Partners III LP, BPU Investment Group., BPU Investment Management., BPU Investment., BPU Investments., Berkowitz, Pierchalski.
Respondent Lawyers(s): Richard J. Federowicz
Arbitrator(s): David J. Capriotti, Daniel J. Kortum, Francis A. King
Hearing Site: Pittsburgh, PA
| | $250,000 |
| 07-01168 | 07/15/2008 | Claimant(s): Jerry Mote
Claimant Lawyers(s): Laurel H. Siddoway
Respondent(s): Joan Block, John Cox, First Allied Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): F. Richard Middaugh, Joseph W. Cheek, James G. Harlan
Hearing Site: Boise, ID
| | $0 |
| 07-02031 | 07/15/2008 | Claimant(s): Osvaldo Alfonso
Claimant Lawyers(s): Osvaldo Alfonso
Respondent(s): Knickeita Vassel-Bullock, Merrill Lynch Pierce Fenner & Smith Inc., ICMA-RC Services
Respondent Lawyers(s): Angela A. Turiano, Jason Okera Keene
Arbitrator(s): Kimberly A. Gilmour, Adam Harrison Smith, Harold S. Stern
Hearing Site: Boca Raton, FL
| | $0 |
