| 08-04035 | 01/22/2009 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Marc Miller, Morgan Keegan & Company.
Respondent Lawyers(s): George L. Guerra, Shea O'Brien Hicks
Arbitrator(s): Paul Sidney Elliott, JD, Pamela Jeanne Rush, Jonathan H. Stein
Hearing Site: Tampa, FL
| | |
| 07-01845 | 12/02/2008 | Claimant(s): Tranquilino Ventura
Claimant Lawyers(s): Frank M. Wilson
Respondent(s): Hunter Bowen, Morgan Stanley DW Inc., Edward Jones, Dean Witter Reynolds.
Respondent Lawyers(s): Brian C. Hale, Jason R. Doss
Arbitrator(s):
Hearing Site: Birmingham, AL
|  | $4,120 |
| 07-02796 | 09/15/2008 | Claimant(s): George Brown, Jean Brown
Claimant Lawyers(s): H. Dale Langley
Respondent(s): Stephen Westphal, Edward Jones
Respondent Lawyers(s): Lin Hughes
Arbitrator(s): Robert J. Gregory, Preston Deaton Rigsby, Robert Jerry Strader
Hearing Site: Dallas, TX
| | $0 |
| 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 |
| 07-03416 | 08/07/2008 | Claimant(s): Sonia Moriarty
Claimant Lawyers(s): Sonia L Moriarty
Respondent(s): Edward Jones
Respondent Lawyers(s): Kimber Monroe
Arbitrator(s): Karla Y. Vogel
Hearing Site: Atlanta, GA
| | $0 |
| 07-02835 | 08/06/2008 | Claimant(s): Susan Clark
Claimant Lawyers(s): Jerrold Wanek
Respondent(s): Douglas Reese, Edward Jones
Respondent Lawyers(s): Lynette McCloud
Arbitrator(s): Carl G. Mohr
Hearing Site: Des Moines, IA
| | $175 |
| 07-00768 | 07/17/2008 | Claimant(s): Betty Gunn
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Jonathan Zulauf, Edward Jones
Respondent Lawyers(s): Peter B. Schaeffer, Richard P. Darke
Arbitrator(s): William H. Tobin, David J. Langseth, Stephen W. Mack
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 07-02808 | 06/16/2008 | Claimant(s): Clarence Smith
Claimant Lawyers(s): Clarence Smith
Respondent(s): Anthony Williams, Edward Jones
Respondent Lawyers(s): Christopher Pickett
Arbitrator(s): Oren L. Connaway
Hearing Site: Houston, TX
| | $163 |
| 07-00340 | 06/12/2008 | Claimant(s): Purita MacKey, Purita Mackey Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Jonathan Zulauf, Edward Jones
Respondent Lawyers(s): Peter B. Shaeffer, Robert P. Bramnik
Arbitrator(s): Alan E. Case, Gordon B. Shneider, Joseph D. Savino
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 06-04852 | 03/25/2008 | Claimant(s): Capitola Sommer
Claimant Lawyers(s): Richard J. Papst
Respondent(s): Edward Jones
Respondent Lawyers(s): Joseph B. Adams
Arbitrator(s): Howard A. Emirhanian, Mark S. Priver, Jerry Ellner
Hearing Site: Los Angeles, CA
| | |
