| 07-01657 | 06/12/2008 | Claimant(s): Robert Baker, Shirley Baker, Robert J. and Shirley J. Baker Trust
Claimant Lawyers(s): Steve Koslovsky
Respondent(s): R. Rose, Financial Planning Consultants Inc.
Respondent Lawyers(s): Alex M. Kanter
Arbitrator(s): Lynn D. (Doug) Newton, David B. Lacks, James M. Stern
Hearing Site: St. Louis, MO
|  | $0 |
| 07-01107 | 06/05/2008 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gilberta Dorsey
Respondent Lawyers(s): Anthony B. Cameron
Arbitrator(s): Thomas J. McAllister, William Stark Port, Matthew R. Salamon
Hearing Site: St. Louis, MO
| | |
| 07-02093 | 05/20/2008 | Claimant(s): Carl Garrett
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): Flagstone Securities
Respondent Lawyers(s): Douglas Y. Curran
Arbitrator(s): Phillip Barry Wise, Marvin L. Frazier, Brian T. Carter
Hearing Site: St. Louis, MO
| | |
| 07-03178 | 04/16/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): David Pool
Respondent Lawyers(s): David Pool
Arbitrator(s): Keith E. Mattern
Hearing Site: St. Louis, MO
| | $0 |
| 06-04978 | 03/07/2008 | Claimant(s): Emily Firebaugh
Claimant Lawyers(s): Jerome F. Raskas
Respondent(s): CIBC World Markets Corp., A.G. Edwards & Sons.
Respondent Lawyers(s): Elizabeth Aylett, Nancy A. Tayborn
Arbitrator(s): Albert J. Haller, Terra Case Sander, David F. Barrett
Hearing Site: St. Louis, MO
| | $110,000 |
| 06-02162 | 01/15/2008 | Claimant(s): Donald P. McAdams Rev/Int Trust, Donna McAdams Rev/Int Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Christopher Wilson
Arbitrator(s): David E. Scott, Jeffrey Caleb Etter, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $31,149 |
| 07-00339 | 01/11/2008 | Claimant(s): Ann Stafford, James Stafford
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): William S. Port
Arbitrator(s): Leah A. Murray, Mark E. Kessinger, David B. Lacks
Hearing Site: St. Louis, MO
| | $200,000 |
| 06-03670 | 01/08/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michae Hampton
Respondent Lawyers(s): Albert S. Watkins
Arbitrator(s): Thomas J. Ray, Bruce S. Feldacker, Jesse David Hill
Hearing Site: St. Louis, MO
| | |
| 06-03137 | 11/14/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Andrew Bryan
Respondent Lawyers(s): Andrew T. Bryan
Arbitrator(s): William J. Travis, John N. Reidy, R. Phillip Reed
Hearing Site: St. Louis, MO
| | |
| 06-04292 | 10/12/2007 | Claimant(s): Moloney Securities Co..
Claimant Lawyers(s): Thomas L. Azar
Respondent(s): Jacqueline Mead, William Mead
Respondent Lawyers(s): Jacqueline M. Mead, William Ramey Mead
Arbitrator(s): David A. Fingerhut
Hearing Site: St. Louis, MO
| | |
