| 08-03002 | 02/04/2009 | Claimant(s): Est. of Dorothy E. Mullen by Kelley B. S, Alfred Mullen, IRA by Kelley B. Standard, Dorothy E. Mullen IRA by Kelley B. Stand
Claimant Lawyers(s): Roger W. Van Deusen
Respondent(s): Jack Hicks, Sterne, Agee & Leach.
Respondent Lawyers(s): Ronald G. DeLuca, Ronald G. Deluca
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cleveland, OH
|  | $130 |
| 07-02456 | 05/19/2008 | Claimant(s): Barry Blank, Brothers Oil & Gas.
Claimant Lawyers(s): Hartley Bernstein
Respondent(s): James Rizzo, Sterne, Agee & Leach.
Respondent Lawyers(s): Peter J. Tepley
Arbitrator(s): Allan D. Breyer, W. Michael Kelley, Thom E. Page
Hearing Site: Phoenix, AZ
| | $0 |
| 07-00724 | 03/07/2008 | Claimant(s): Michael Bodino, Paul Westervelt, Coker, Palmer, Phillips & Mullen.
Claimant Lawyers(s): E. Barney Robinson
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): Patricia C. Diak
Arbitrator(s): Frederick S. Duncan, David T. Maddux, Kenneth I. Daniels
Hearing Site: Jackson, MS
| | |
| 06-03048 | 12/24/2007 | Claimant(s): Adam Aspes, Catherine Lesterhuis, Curtis Thompson, Jacob Morton, Scott Hootman
Claimant Lawyers(s): Latanishia D. Watters
Respondent(s): Brian Foley, Daniel Joyce, Michael Braun, William Devin Jr., Moor & Cabot Inc., Sal Financial Services., d/b/a Ster, Sterne Agee Capital Markets., Sterne, Agee & Leach.
Respondent Lawyers(s): Latanishia D. Watters, Sander A. Rikleen
Arbitrator(s): Paul J. Camilleri, David Finnegan, John F. Duane
Hearing Site: New York, NY
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