| 08-00789 | 03/27/2009 | Claimant(s): Lea Georgas
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): George Terzakis, Morgan Stanley & Co.
Respondent Lawyers(s): Daniel Derechin, George D. Terzakis
Arbitrator(s): Alan S. Farnell
Hearing Site: Chicago, IL
|  | $7,063 |
| 08-02808 | 03/27/2009 | Claimant(s): Est. of Margaret Oswald by Stan Oswald
Claimant Lawyers(s): Stan Cohen
Respondent(s): Edward Jones
Respondent Lawyers(s): Kimber L. Monroe
Arbitrator(s): James A. Hayes
Hearing Site: Omaha, NE
| | $5,648 |
| 08-01099 | 03/27/2009 | Claimant(s): Donald Demmy
Claimant Lawyers(s): Jeffrey J. Scott
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): John V. McDermott
Arbitrator(s): Samuel E. Wing, Gerald K. Moore, Mary C. Davis
Hearing Site: Denver, CO
| | $0 |
| 08-02999 | 03/27/2009 | Claimant(s): Viktor Kilchyk
Claimant Lawyers(s): Viktor Kilchyk
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): F. Wesley Bowers
Hearing Site: Indianapolis, IN
| | $325 |
| 07-02726 | 03/26/2009 | Claimant(s): Ridge Clearing & Outsourcing Solutions,
Claimant Lawyers(s): Howard Schiffman
Respondent(s): Arjent Ltd., Arjent Services LLC, Arjent Limited
Respondent Lawyers(s): Andrew Goodman
Arbitrator(s): Donald J. Rasweiler, Burton M. Fendelman, Carole R. Bernstein
Hearing Site: New York, NY
| | |
| 07-03023 | 03/26/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Brennan
Respondent Lawyers(s): Robert J. Benbenek
Arbitrator(s): Thomas J. McAllister, Jerry M. Deters, Heath O. Lauseng
Hearing Site: St. Louis, MO
| | |
| 08-01181 | 03/26/2009 | Claimant(s): Naomi Britton
Claimant Lawyers(s): Burton M. Bentley
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi
Arbitrator(s): Gary L. Freeman, Marc Kalish, Amy L. Lieberman
Hearing Site: Phoenix, AZ
| | |
| 08-00160 | 03/26/2009 | Claimant(s): Michael Doran
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Ralph L. Halpern, David L. Hoffberg, Alan Kenneth Scheff
Hearing Site: Buffalo, NY
| | Stipulated Award |
| 08-00245 | 03/26/2009 | Claimant(s): Trinity Bui
Claimant Lawyers(s): Nelson M. Zern
Respondent(s): D. Weckstein & Co.
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Robert Czik, Andrew J. Gerber, Vincent Cannaliato
Hearing Site: New York, NY
| | $0 |
| 08-01286 | 03/25/2009 | Claimant(s): Michael Pickholz
Claimant Lawyers(s): Robert Heim
Respondent(s): ThinkEquity Partners LLC
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Robert Pincus, Marilyn J. Salzman, J. Julie Jason
Hearing Site: New York, NY
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