| 05-04639 | 12/21/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): William W. Allen
Respondent(s): David Pennington, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Davidson, Russell Sayre
Arbitrator(s): Amelia F. Adams, Carolyn K. Balleisen, John D. Robb
Hearing Site: Louisville, KY
| | |
| 07-00904 | 11/21/2007 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): John Craine
Respondent Lawyers(s): John Edwin Craine
Arbitrator(s): Patrick J. Burley, Marc E. Henn, Al P. Lawing
Hearing Site: Louisville, KY
| | |
| 06-05020 | 11/21/2007 | Claimant(s): Jerry Pinion, Mitchell Borders, Nancy Mueller, Patricia Beall, Paul Ponder
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): A.G. Edwards & Sons., Sherry Holley
Respondent Lawyers(s): Amy C. Johnson
Arbitrator(s): John R. Michael, Jan M. West, Enrico A. Mazzoli
Hearing Site: Louisville, KY
|  | $0 |
| 07-00510 | 10/26/2007 | Claimant(s): Eddie Miller
Claimant Lawyers(s): Eddie Lee Miller
Respondent(s): PNC Investments
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Lawrence Reginald Wagner, Gary P. Price, Jan M. West
Hearing Site: Louisville, KY
| | |
| 06-04128 | 10/26/2007 | Claimant(s): Herbert Kinman
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien
Arbitrator(s): Bill Swinford, Gorman Jones Roberts, Anthony G. Belak
Hearing Site: Louisville, KY
| | $0 |
| 06-05133 | 10/02/2007 | Claimant(s): Sylvia Alford Bush Trust
Claimant Lawyers(s): Nancy Oliver Roberts
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Hugh C. Durbin, Gail Burke Tway, Robert M. Bath
Hearing Site: Louisville, KY
| | $0 |
| 07-01246 | 09/13/2007 | Claimant(s): Robert L. Hill and Mary Hill
Claimant Lawyers(s): Christopher D. Hill
Respondent(s): Jeffrey Brauley, UBS Financial Services Inc., Richard Wilhelm
Respondent Lawyers(s): Margarita L. Marsico
Arbitrator(s): Lawrence W. Arness
Hearing Site: Louisville, KY
| | $425 |
