| 07-03612 | 09/23/2008 | Claimant(s): Adol Owen-Williams
Claimant Lawyers(s): James F. Shalleck
Respondent(s): BB&T Investment Services.
Respondent Lawyers(s): Alan L. Briggs
Arbitrator(s): Theodore W. Urban, Louis Nebel, Merle D. Rockwell
Hearing Site: Washington, DC
| | |
| 07-02404 | 07/16/2008 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Matthew R. Stammel
Respondent(s): A. Waddell
Respondent Lawyers(s): James A. Batson
Arbitrator(s): Bonnie K. Wachtel, Gerald Charnoff, Barbara B. Franklin
Hearing Site: Washington, DC
| | |
| 07-00969 | 04/22/2008 | Claimant(s): SunTrust Bank, SunTrust Investment Services.
Claimant Lawyers(s): Bradford S. Bernstein
Respondent(s): Andrew Hickey
Respondent Lawyers(s): Daniel S. Fiore
Arbitrator(s): Ida W. Draim, Nickey D. Turner, Kevin D. Judd
Hearing Site: Washington, DC
| | |
| 07-02929 | 04/08/2008 | Claimant(s): David Ni
Claimant Lawyers(s): David H Ni
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Gary T. Grassey
Arbitrator(s): Maurice R. Dunie
Hearing Site: Washington, DC
|  | $88 |
| 07-00317 | 03/20/2008 | Claimant(s): John Erickson
Claimant Lawyers(s): John F. Erickson
Respondent(s): Robert Tucker
Respondent Lawyers(s): Robert Tucker
Arbitrator(s): Anne Q. Uno, Bruce Sanders, Arthur J. Wilson
Hearing Site: Washington, DC
| | $0 |
| 06-04597 | 03/06/2008 | Claimant(s): SunTrust Banks., SunTrust Capital Markets., SunTrust Investment Services.
Claimant Lawyers(s): David L. Balser
Respondent(s): Joshua Mazer
Respondent Lawyers(s): Foster S.B. Friedman
Arbitrator(s): Bonnie K. Wachtel, Albert D. Sturtevant
Hearing Site: Washington, DC
| | |
| 06-05365 | 03/03/2008 | Claimant(s): Katherine Griffin, TTEE to Living TRST
Claimant Lawyers(s): Dan Brecher
Respondent(s): Goldman, Sachs and Company, Sofia Frankel
Respondent Lawyers(s): Brian F. McDonough, Michael J. Dell
Arbitrator(s): Bryon P. Fusini, Michael F. Halasz, Jeanne E. Libit
Hearing Site: Washington, DC
| | Expungement |
| 07-01933 | 02/07/2008 | Claimant(s): Robert L. Kellogg & Evelyn Lea Kellogg,
Claimant Lawyers(s): Robert L Kellogg
Respondent(s): Crowell, Weedon & Co.
Respondent Lawyers(s): James R. Kruger
Arbitrator(s): Maureen Power Wilkerson
Hearing Site: Washington, DC
| | $12,213 |
| 07-01088 | 02/05/2008 | Claimant(s): Richard Oppong
Claimant Lawyers(s): Lee Boothby
Respondent(s): E*Trade Securities LLC, E*Trade Bank
Respondent Lawyers(s): John Bersin
Arbitrator(s): Walter Peterson, Michael J. Henke, Jane C. Carney
Hearing Site: Washington, DC
| | $225 |
| 07-00409 | 01/29/2008 | Claimant(s): Ferdinand Tranfo, Letizia Tranfo
Claimant Lawyers(s): Arthur M. Schwartzstein
Respondent(s): Jeffrey Shuster, Westrock Advisors.
Respondent Lawyers(s): Robert Giacovas
Arbitrator(s): John H. Baffa, Gloria Asher, Anne Q. Uno
Hearing Site: Washington, DC
| | $0 |
