09-05418 | 08/10/2010 | Claimant(s): Alton R. Jacobs, Cynthia S. Rosier, Danny L. Beaver, Eugene H. Lefebvre, Herman Wissel, Howard C. Wendzel, Patrick R. Ireland, Rafael E. Castro, T. Michael Rosier, John S. Damico and Mary L. Damico, Joseph P. Rosier and T. Michael Rosier, Mitchell C. Rosenburg & Janis Gilberti-, Norman L. Johnson and Greer Lang Johnson, Oscar Hopkins and Alice S. Hopkins, Otto N. and Cynthia M. Bie, Peter Skemp and Nancy Skemp, Alton R. Jacobs Living Trust Agreement, Beverly A. Jackson Family Trust Agreemen, Billy G. Jackson Family Trust Agreement, Bryant O'B. Smith Char Rem Annuity Trust, et al Claimant Lawyers(s): Jeffrey P. Coleman Respondent(s): Charles O'Kelley, Atlantic Coast Securities Corp Respondent Lawyers(s): William J. Schifino Arbitrator(s): Nicholas John Taldone, Patrick D. King, Kenneth R. Starr Hearing Site: Tampa, FL
| | Stipulated Award |
09-03020 | 05/10/2010 | Claimant(s): Adam Lundquist, Barbara Czencz, Candice Pulliam, Carol Pulliam, Carol Wilson, David Kinard, David Minor, Dolores Ulrich, Donna Kinard, Gordon Lofshult, James Pardee, Jerry Pulliam, Joel Weissman, Julie Reese, Larry Spahr, Lindsey Morisse, Nancy Spahr, Patricia Richhart, Phyllis Lofshult, Richard Brown, et al Claimant Lawyers(s): James S. Helfrich, Kevin Aoun Respondent(s): Derek Kent Respondent Lawyers(s): Derek R. Kent Arbitrator(s): Bradford J. Lam Hearing Site: Denver, CO
| | $933,000 |
07-00624 | 08/19/2009 | Claimant(s): Barbara Freudmann, Fern Greene, Gunnar Pedersen, Joan Ezersky, Judith Pedersen, Maxine Jaffe, Randi Greenfield, Randy Greenfield, Ruth Grimes, Sheila Kramer, Shirley Wishnew, Stefan Greene, Judith Pedersen on behalf of Alexa, Noah, Michael Casper Custodial, CUS for Rose Shimerg, Steven Casper Custodial, Carol Hoffer IRA, John Casper, Marian Green, Martin Green, et al Claimant Lawyers(s): Darren C. Blum, James D. Sallah, Joshua A. Katz, Scott L. Silver Respondent(s): Gary Gross Respondent Lawyers(s): Gary Gross Arbitrator(s): Guy K. Stewart, Roy B. Gonas, Geraldine A. Genco Hearing Site: Boca Raton, FL
| | $1,470,470 |
08-02281 | 05/13/2009 | Claimant(s): Alan Bonebrake, Cecilia Johnson, Chrisenda Smith, Clarence Koester, Claretta Royal, Colleen Schreiter, Personal Rep, Deroy Harshman, Dona Brungardt, Donald Bremer, Donna Gress, Donna Jacobson, Duane Madison, Dwayne Witt, Elaine Heng, Erma Barrett, Esther Schnitzer, Faith Eyman, George Stukenholtz, Gerald Royal, Helen Ladd, et al Claimant Lawyers(s): J. L. Spray Respondent(s): Donald Beary, James Stanfield Respondent Lawyers(s): Patrick B. Griffin Arbitrator(s): Richard M. Duxbury, Frederick B. Anderson, Thomas J. Pleiss Hearing Site: Omaha, NE
| | $10,290,000 |
07-03054 | 03/20/2009 | Claimant(s): Alan Beverly, Angela Soll, Audrey Schaefer, Carole Renfro, Clayton Beck, Darcie Fulkerson, Debbie Beverly, Gail Stoneburg, Jeff Bourne, John Brezden, Jonathan Fulkerson, Kathy Beck, Kevin Howard, Linda Gaffney, Maria Brezden, Mark Baker, Mark Gruidl, Mark Soll, Michael Schaefer, Rena Stathacopoulos, et al Claimant Lawyers(s): Robert A. Uhl Respondent(s): Jeffrey Forrest, Associated Securities Corp. Respondent Lawyers(s): G. Thomas Fleming Arbitrator(s): Robert J. Ruben, Mark S. Priver, Kenneth Miller Hearing Site: Los Angeles, CA
| | $8,858,600 |
07-01180 | 11/21/2008 | Claimant(s): Alice Russo, Anthony Viola, Audrey Kolar, Barbara McCutcheon, Carolyn Wright, Chad Mastakoski, Dale Kolar, Daniel Kelly, Darlene Wachel, David Petit, David Swarner, Douglas Meaden, Eleanor Evans, Gerald Duncan, Helen Papp, Jack Wygle, Jared Petit, Jason Petit, John Williams, Joleen Petit, et al Claimant Lawyers(s): Christopher Mader Respondent(s): Michael Dawes, Emmett A. Larkin Company. Respondent Lawyers(s): Howard Schiffman, Michael A. Dawes Arbitrator(s): Irving Mindes, Virginia H. Wertz, Frederick K. Steiner Hearing Site: Phoenix, AZ
| | Stipulated Award |
07-00916 | 03/31/2008 | Claimant(s): Janeen Sudaka-Karlsson Claimant Lawyers(s): Janeen A. Sudaka-Karlsson Respondent(s): Arthur Auch, Catherine Maguire, Christine Cunningham, Eric Peske, Citigroup Global Markets., James Ducey, James Lombardi, Jelmena Hudson, John Olson, Joseph Plumeri, Karen Siannas, Kathleen Ferraro, Kelly Walsh, Linus Cooke, Lisa Feld, Marcelo Ippoliti, Maria Frattaroli, Merrill Lynch Pierce Fenner & Smith Inc., Philip Gullo, Richard Petit (a/k/a Ecklund), et al Respondent Lawyers(s): Edwin Zipf, Richard A. Petit (a/k/a Ecklund), Victor A. Machcinski Arbitrator(s): Robert L. Palleschi, Martin H. Zern, Valerie Robbin Watts Hearing Site: New York, NY
| | $0 |
06-04080 | 02/08/2008 | Claimant(s): Alexander Williams, Alma Finch, Berry Rover, Carlton Phillips, Curtis Barnes, Delie Anthony, Delores Perry, Dora Williams, Eddie Cooper, Excell Finch, Linda Durham, Mamie Cooper, Odell Knight, Rita Harris, Robert Beamon, Rokisha Simrel, Ruby Arrington, Ruth Beamon, Samuel Harrell, Shirley Davis, et al Claimant Lawyers(s): Howard B. Prossnitz Respondent(s): Investors Capital Corp. Respondent Lawyers(s): James A. McGovern Arbitrator(s): Zeb E. Barnhardt, Thomas C. Borthwick, Harold G. Koger Hearing Site: Raleigh, NC
| | $667,720 |
06-04356 | 01/30/2008 | Claimant(s): Donald Kent, Dwight Campbell, MCM Advisors Corp., et al Claimant Lawyers(s): James D. Sallah Respondent(s): Ernest McMullen Respondent Lawyers(s): Andrew T. Lavin Arbitrator(s): Lanny M. Leff, Mark A. Buckstein, Arnold Levine Hearing Site: Boca Raton, FL
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07-02460 | 10/04/2007 | Claimant(s): Andrea Costello, Bryan Keane, David Shove, Gregg Kennedy, Howard Penney, James Bishop, James Lucier, James Reddington, Jason Gammel, John Tumazos, Katherine Styponias, Kevin Coleman, Kevin De Thomas, Lawrence Demaria, Lynne Theurer, Mark Kennedy, Mark Lipacis, Matthew Park, Nicholas Heymann, Richard Klugman, et al Claimant Lawyers(s): Timothy J. Dennin Respondent(s): Prudential Equity Group Respondent Lawyers(s): Janet A. Beer Arbitrator(s): Larry A. Kimmel, Cheryl Feldman, Thomas M. Amadio Hearing Site: New York, NY
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