| 06-00004 | 08/25/2008 | Claimant(s): Jeffrey and Alexia Hamilton
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Dennis Donnelly, Gregory Hasho, Lawrence Donato, Lizy Chandy, Michael Clements, Vincent Bonato, Continental Broker-Dealer Corp., Gregory M. Hasho Voting Trust, NF Clearing.
Respondent Lawyers(s): Compliance Officer, Gregory M. Hasho, Michael G Shannon, Michael G. Shannon, Michael Clements, Scott Wassmuth
Arbitrator(s): Linda Gelfand Leibig, Arthur J. Giacomarra, Melinda S. Milberg
Hearing Site: Boston, MA
|  | $0 |
| 07-02489 | 08/25/2008 | Claimant(s): Janice Lawrence, Ronald Lawrence, Recruiter's Resource.
Claimant Lawyers(s): Mark A. Schadrack
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Victoria E. Johnson, Morris S. Getzels, Valerie Lewis
Hearing Site: Los Angeles, CA
| | $0 |
| 06-05382 | 08/21/2008 | Claimant(s): Delmer Urbanczyk
Claimant Lawyers(s): Steve Koslovsky
Respondent(s): Janet Urbanczyk, Marvin Urbanczyk, A.G. Edwards & Sons., Roger David, Edward Jones
Respondent Lawyers(s): Donald D. McBride, Frederic M. Wolfram, William S. Port
Arbitrator(s): Albert J. Haller, David B. Lacks, David A. Fingerhut
Hearing Site: St. Louis, MO
| | Account transfer request is granted |
| 07-01428 | 08/21/2008 | Claimant(s): Alberta Murstein, Alberta Sue Murstein Rev. Living Trust
Claimant Lawyers(s): David O. Kreuter
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Douglas Appel
Arbitrator(s): M. Eileen Dorsey, Albert J. Haller, Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | $16,000 |
| 06-05080 | 08/21/2008 | Claimant(s): Voilet Wall, Violet M. Wall Trust
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Citigroup Global Markets., Robert Leverte
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Elliott David Finkel, Gerald C. Tambe, Harris J. Howard
Hearing Site: Los Angeles, CA
| | $0 |
| 06-01679 | 08/20/2008 | Claimant(s): Robert Montanino
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Donald P. Wray
Arbitrator(s): Richard L. Herzfeld, Donald Raymond McNally, Mary Noe
Hearing Site: New York, NY
| | $40,000 |
| 08-00637 | 08/19/2008 | Claimant(s): Richard Fernandes
Claimant Lawyers(s): Richard S. Fernandes
Respondent(s): Gunnallen Financial
Respondent Lawyers(s): Jay Marc Israel
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 02-05828 | 08/18/2008 | Claimant(s): Larry Thompson
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Kevin Grunawalt, Carillon Investments.
Respondent Lawyers(s): David A. Baugh, Gary M. Saretsky
Arbitrator(s): Patrick R. Sughroue, Joseph H. Mizzi, Lee Hornberger
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 07-02458 | 08/15/2008 | Claimant(s): Amit Sela
Claimant Lawyers(s): Thomas E. Propson
Respondent(s): Jeffrey Schachtman, Oak Ridge Financial Services Group, In
Respondent Lawyers(s): Christopher Grgurich
Arbitrator(s): Judith A. Rogosheske, Andrew R. Dick, Julie A. Hennen
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
| 07-02602 | 08/15/2008 | Claimant(s): A. Ray
Claimant Lawyers(s): Walter W. Bussart
Respondent(s): James Bratcher, Securities Service Network.
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): D. Bruce Shine, Coleman Robert Perry, Richard K. Smith
Hearing Site: Nashville, TN
| | Dismissed by Rule 12206 |
