| 07-00476 | 04/29/2008 | Claimant(s): Est. of Thomas H. Piccarreto by Bentti
Claimant Lawyers(s): Douglas Moyal
Respondent(s): Great Eastern Securities.
Respondent Lawyers(s): Derick Johnson
Arbitrator(s): Pamela H. Roderick, Evonne W.J. Tolbert, Mary L. Merkle
Hearing Site: New York, NY
|  | $55,686 |
| 04-07141 | 04/25/2008 | Claimant(s): Mariam Nigohosian
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Waterhouse Securities a/k/a
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Judith Fields Jurney, James S. Hazard, Daniel A. Dolan
Hearing Site: New York, NY
| | $150,000 |
| 06-05229 | 04/25/2008 | Claimant(s): Anne Woodhouse, The Estate of Melvyn Woodhouse
Claimant Lawyers(s): Romaine Gardner
Respondent(s): Damascus Lee
Respondent Lawyers(s): Damascus I Lee
Arbitrator(s): Michael G. Shannon, Thomas D. Giordano, Denise N. Seegobin
Hearing Site: New York, NY
| | $67,185 |
| 07-01185 | 04/24/2008 | Claimant(s): Michael Allinson
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Glenn Meyer, Vision Securities Inc.
Respondent Lawyers(s): Robert Heim
Arbitrator(s): Aaron Friedman, Elizabeth Gilbert, Jeffrey I. Kahn
Hearing Site: New York, NY
| | $125,000 |
| 06-02865 | 04/23/2008 | Claimant(s): Frank Palumbo
Claimant Lawyers(s): Scott A. Lucas
Respondent(s): Banc of America Investment Services Inc., Quick and Reilly., Bank of America N.A.a/k/a BOA Corporat, Fleet National Bank
Respondent Lawyers(s): Thomas J. Momjian
Arbitrator(s): Burton M. Fendelman, Renee La Verne Ross CFP, Alan Steven Brodherson
Hearing Site: New York, NY
| | |
| 08-00765 | 04/22/2008 | Claimant(s): RBC Capital Markets Corp.
Claimant Lawyers(s): Anne C. Patin
Respondent(s): Charles Howard
Respondent Lawyers(s): Michael C. Deutsch
Arbitrator(s): Edward Baer, James D. Yellen, Barry R. Lax
Hearing Site: New York, NY
| | |
| 06-04962 | 04/18/2008 | Claimant(s): John Carl
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Lewis Sanders, AllianceBernstein Investments.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Eugene F. Farabaugh, Robina Fedora Asti, Cynthia A. DiMarco
Hearing Site: New York, NY
| | |
| 07-00359 | 04/18/2008 | Claimant(s): Caren Bass
Claimant Lawyers(s): Caren M. Bass
Respondent(s): Citigroup.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Sandra J. Mullings, Elizabeth B. Head, Bartley F. Flaherty
Hearing Site: New York, NY
| | |
| 07-00736 | 04/18/2008 | Claimant(s): Diane Moss
Claimant Lawyers(s): William J. Gladden
Respondent(s): Cheryl Jimerson, Gregory Martino, Westrock Advisors.
Respondent Lawyers(s): Cheryl Diane Jimerson, Robert Giavocias
Arbitrator(s): Charles F. Brennan, Frank J. Spencer, Stewart E. Winner
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 07-03181 | 04/16/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Alan Levande
Respondent Lawyers(s): Alan Levande
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
