| 01-06400 | 08/26/2008 | Claimant(s): Robert Tarrington
Claimant Lawyers(s): Robert W. Tarrington
Respondent(s): John Lee, Laurence Forsman, A.G. Edwards & Sons.
Respondent Lawyers(s): Jason S. Mills, Laurence S. Forsman, Nuviah Shirazi
Arbitrator(s): Martin Mandel, David J. Anderson, Michael D. Harrison
Hearing Site: Los Angeles, CA
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| 06-05382 | 08/21/2008 | Claimant(s): Delmer Urbanczyk
Claimant Lawyers(s): Steve Koslovsky
Respondent(s): Janet Urbanczyk, Marvin Urbanczyk, A.G. Edwards & Sons., Roger David, Edward Jones
Respondent Lawyers(s): Donald D. McBride, Frederic M. Wolfram, William S. Port
Arbitrator(s): Albert J. Haller, David B. Lacks, David A. Fingerhut
Hearing Site: St. Louis, MO
|  | Account transfer request is granted |
| 06-02098 | 08/14/2008 | Claimant(s): John McQueen
Claimant Lawyers(s): John McQueen
Respondent(s): Jason Parlato, A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Patricia N. Cirillo, Richard W. Cutler, Charles Ajamian
Hearing Site: New York, NY
| | |
| 07-02921 | 08/08/2008 | Claimant(s): Anthony Russo, Christopher Drake, David Luna, Stifel, Nicolaus & Co.., Donald Johns, Edward Gutierrez, Herbert Keyser, Jon Bostrom, Linda Swart-Scipione, Lisa Evans, Lisa McCrea, Manuel Lozano, Michael Nielsen, Raymond Reed
Claimant Lawyers(s): Joseph A. Dougherty, Kenneth C. Mennemeier
Respondent(s): Wachovia Securities, A.G. Edwards & Sons.
Respondent Lawyers(s): Jordan D. Becker
Arbitrator(s): Keith D. Patten, Robert W. Dempsey, Jeffrey N. Sullivan
Hearing Site: St. Louis, MO
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| 07-02499 | 07/18/2008 | Claimant(s): Bernice Wright
Claimant Lawyers(s): Charles C. Mihalek
Respondent(s): Byron Holley, A.G. Edwards & Sons.
Respondent Lawyers(s): Anita M. Britton
Arbitrator(s): Jeffrey M. Bain, Todd Parker Lowe, Rose H. Benkert
Hearing Site: Louisville, KY
| | $177,000 |
| 06-05147 | 06/11/2008 | Claimant(s): Michael Guess
Claimant Lawyers(s): Richard M. Kerger
Respondent(s): Gerald "Gary" Sliemers, A.G. Edwards & Sons.
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Harvey Frank, William P. Thorpe, Seth H. Barsky
Hearing Site: Detroit, MI
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| 07-00878 | 06/11/2008 | Claimant(s): Kimberlee Johnson, William Capron
Claimant Lawyers(s): Kimberlee Johnson, William Capron
Respondent(s): James Carter, John McCloskey, A.G. Edwards & Sons.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Francis R. Ortiz, Kenneth J. Safran, Mark R Werder
Hearing Site: Detroit, MI
| | $0 |
| 07-02897 | 05/23/2008 | Claimant(s): Wachovia Securities, A.G. Edwards & Sons.
Claimant Lawyers(s): Katherine B. Harrison
Respondent(s): Cathy McJilton, Stifel, Nicolaus & Co.., Denise Gilseth, Kelly Stomgren, Samuel Slayden
Respondent Lawyers(s): James A. Hughes, Kenneth C. Mennemeier
Arbitrator(s): Harry B. Endsley, Ralph A. Cotton, E. Duane Stephens
Hearing Site: San Francisco, CA
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| 07-00380 | 05/23/2008 | Claimant(s): Lynn Kaufmann
Claimant Lawyers(s): John J. Washburn
Respondent(s): Hayes Burleson, A.G. Edwards & Sons.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Lewis S. Kurlantzick, Dale S. Cronnell, Samuel H. Chorches
Hearing Site: Hartford, CT
| | $43,136 |
| 06-03334 | 05/07/2008 | Claimant(s): James Garibaldi
Claimant Lawyers(s): George F. Riess
Respondent(s): A.G. Edwards & Sons., Scott Foreman
Respondent Lawyers(s): Matthew Salamon
Arbitrator(s): Cheryl D. Cassreino, C. Ellis Henican, James Kee Irvin
Hearing Site: New Orleans, LA
| | $225 |
