| 07-01893 | 09/02/2008 | Claimant(s): HGL Consulting/Research LTD, H. George and Angelika M. Lundburg Jt, Lola D. Thomas Trust
Claimant Lawyers(s): Carl H. Osaki
Respondent(s): Charles Sebrell, Dwayne Mukai, Morgan Stanley & Co., Paul Saferstein, Richard Mosko, Robert Tung, Susan Lane
Respondent Lawyers(s): David R. Maurer
Arbitrator(s): Robin Lynn Berry, James K. Hoenig, Gregory M. Scanlon
Hearing Site: Honolulu, HI
|  | $0 |
| 07-00281 | 08/29/2008 | Claimant(s): Ronald Gilman
Claimant Lawyers(s): David Gaba
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Chesley Oriel, Joseph J. Slotnik, Andrew J. Tine
Hearing Site: Providence, RI
| | $106,000 |
| 07-02775 | 08/29/2008 | Claimant(s): James Baxter, Kathleen King, Betty/James E. Baxter, II, Joint Tenants, John/James E. Baxter
Claimant Lawyers(s): William D. Bayliss
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Stuart H. Dunn, Keith A. Green, Roderick B. Mathews
Hearing Site: Richmond, VA
| | $223,910 |
| 05-04558 | 08/28/2008 | Claimant(s): Joseph and Isabel Prischak
Claimant Lawyers(s): Douglas R. Jennings
Respondent(s): Malcolm Dale
Respondent Lawyers(s): Malcolm T. Dale
Arbitrator(s): Beth Rackley Hesselson, Donald A. Olszewski, Albert Joseph Boucek
Hearing Site: Pittsburgh, PA
| | Stipulated Award |
| 06-05046 | 08/28/2008 | Claimant(s): Steven Bickel
Claimant Lawyers(s): Frank E. Bremmer
Respondent(s): John Humphrey, A.G. Edwards & Sons., Robert Burns
Respondent Lawyers(s): Brent J. Burtin, John James Humphrey
Arbitrator(s): David J. Anderson, Gerald F. Corrigan, David Nielsen
Hearing Site: Los Angeles, CA
| | No Info |
| 07-02314 | 08/28/2008 | Claimant(s): Susan Key
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Arnold Riley, Debra Mae Stephens, Citigroup Global Markets., Michael Handlin, Ozzie Bauer, Thomas Howard, Financial Network Investment Corp., ING Financial Advisers
Respondent Lawyers(s): Andrew R. Harvin, Greg Moore, Hugo A. Hilgendorff, IV
Arbitrator(s): Leonard J. Sullivan, Jeffrey M. Aboloff, Philip I. McConnell
Hearing Site: Houston, TX
| | Stipulated Award and Expungement |
| 07-03610 | 08/27/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Leigh Patten
Respondent Lawyers(s): Christina M. Latta
Arbitrator(s): Michael R. Scott, John M. Casey, Keith R Anderson
Hearing Site: Seattle, WA
| | Stipulated Award |
| 06-02734 | 08/27/2008 | Claimant(s): Michael Waks
Claimant Lawyers(s): Michael L. Meeks
Respondent(s): David Goodenough, Melody Li, Thomas Birk, Lehman Brothers Inc
Respondent Lawyers(s): Eric M. George, Neal S. Robb
Arbitrator(s): Mary M. O'Neil, Vytas Tarulis, Steven K. Ogata
Hearing Site: Los Angeles, CA
| | $52,314 |
| 06-04087 | 08/27/2008 | Claimant(s): Lynn Coyle, Bently Patners.
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): McLaughlin, Piven, Vogel Securities, Paul Marrone
Respondent Lawyers(s): Mark G. Vaughan
Arbitrator(s): Robert J. Allen, John G. Leaman, David J. Pollitzer
Hearing Site: Albany, NY
| | Stipulated Award and Expungement |
| 08-00724 | 08/27/2008 | Claimant(s): Gerry Kessler
Claimant Lawyers(s): Howard W. Hirschhorn
Respondent(s): William Cody
Respondent Lawyers(s): Robert M. Zimmerman
Arbitrator(s): Michael L. Lyons, Thomas J. Ray, Mark E. Kessinger
Hearing Site: St. Louis, MO
| | $0 |
