| 08-04793 | 12/21/2009 | Claimant(s): Christopher Wanken
Claimant Lawyers(s): Christopher Michael Wanken
Respondent(s): John Wanken, Raymond James Financial Services.
Respondent Lawyers(s): Erin Linehan, William J. Dunne
Arbitrator(s): Michael E. Rohde, Maryanne M. Esser, Thomas Richard Delaney
Hearing Site: Dallas, TX
| | |
| 09-01649 | 12/21/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Thomas Marino
Respondent Lawyers(s): Thomas J. Marino
Arbitrator(s): Joseph D. Valenti, Bernard S. Carrey, Daniel B. Daugherty
Hearing Site: Tampa, FL
| | |
| 09-03525 | 12/21/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Cari A. Lewis
Respondent(s): Jean McHale
Respondent Lawyers(s): Jean McHale
Arbitrator(s): Wilbert H. Luck
Hearing Site: Baltimore, MD
|  | $0 |
| 08-04933 | 12/21/2009 | Claimant(s): James P. Dancy
Claimant Lawyers(s): Kristin S. Nardone
Respondent(s): Jason Swink, Money Concepts Capital Corp
Respondent Lawyers(s): George H. Pender
Arbitrator(s): John H. Griffing, Richard E. Miley, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | $80,179 |
| 09-00796 | 12/21/2009 | Claimant(s): Estate of Peter W. Roslund
Claimant Lawyers(s): David C. Berman
Respondent(s): J.P. Morgan Securities, Stephen Gabriel
Respondent Lawyers(s): Eugene L. Small, Ronald P. Kane
Arbitrator(s): Leonard E. Benade, W. Wells Van Pelt, John R. Morris
Hearing Site: Charlotte, NC
| | Stipulated Award and Expungement |
| 09-01512 | 12/21/2009 | Claimant(s): David Wolfson Living Trust UAD 4/2/90
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Peter Boorn, Thomas Cooper, Stockcross Financial Services.
Respondent Lawyers(s): George H. Kupper
Arbitrator(s): John B. Wells, Herbert Murez, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | $1,661,200 |
| 09-02513 | 12/21/2009 | Claimant(s): Sherry Elschlager, Terry Elschlager
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Henry G. Plaster
Hearing Site: Charleston, WV
| | $50,000 |
| 09-03249 | 12/21/2009 | Claimant(s): Felton A. Ferrini Living Trust
Claimant Lawyers(s): Roger B. Frederickson
Respondent(s): Harry Fischer, RBC Capital Markets LLC
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Amy Seltzer
Hearing Site: San Francisco, CA
| | Expungement |
| 08-04263 | 12/21/2009 | Claimant(s): Richard Berman and Dorothy Berman
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Bear, Stearns & Co..
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Ronald F. Rosner, Howard Weitz, Alice Holly Oshins
Hearing Site: New York, NY
| | $0 |
| 09-01153 | 12/21/2009 | Claimant(s): Sandra Valentin
Claimant Lawyers(s): Joseph Cinquemani
Respondent(s): Chase Investment Services Corp., Jorge Torres, Yoseph Atwell
Respondent Lawyers(s): Edward J. McNamara
Arbitrator(s): Kenneth M. Felder
Hearing Site: New York, NY
| | $213 |
