07-01108 | 12/26/2008 | Claimant(s): D&H Claims Services., H&H Agency., Sterling Casualty Insurance Company Claimant Lawyers(s): David J. Darnell Respondent(s): J.P. Morgan Securities, Oppenheimer & Co.., Michael Horaney Respondent Lawyers(s): Mitchell J. Albert, Neal S. Robb, Robert J. Girard Arbitrator(s): Elliott David Finkel, Kenneth I. Rosenblum, Thanayi J. Lindsey Hearing Site: Los Angeles, CA
| | $138,200 |
07-03387 | 12/24/2008 | Claimant(s): Marilyn Bloch Claimant Lawyers(s): Marilyn Bloch Respondent(s): LPL fka Linsco/Private Ledger Corp., Teresa DiLorenzoL Financial Services ( part of LPL) Respondent Lawyers(s): Amanda C. Hawley, Kathy M. Klock Arbitrator(s): Charles Hoffman, Herbert Schwartz, Richard J. Kaplan Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
06-03243 | 12/23/2008 | Claimant(s): Planco Financial Services. Claimant Lawyers(s): Mark T. Boonstra Respondent(s): Sarah Habitz, Sean Ritchlin Respondent Lawyers(s): Eric S. Richards Arbitrator(s): Mark L. Kowalsky, Burton L. Ansell, William P. Thorpe Hearing Site: Detroit, MI
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08-00921 | 12/23/2008 | Claimant(s): James Derosa Claimant Lawyers(s): Edward F. Broderick Respondent(s): Tiaa-Cref Individual & Institutional Ser Respondent Lawyers(s): J. Michael Riordan Arbitrator(s): Richard W Berenger, Madelyn A. Levy, Karl Bosch Hearing Site: New York, NY
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08-00948 | 12/23/2008 | Claimant(s): Woodbury Financial Services. Claimant Lawyers(s): Jeffrey D. Hedlund Respondent(s): Mark Islas, Mayra Angulo Respondent Lawyers(s): Bruce R. Heurlin Arbitrator(s): Victor B. Taube, Gary L. Freeman, Ralph H. Martin Hearing Site: Phoenix, AZ
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08-01785 | 12/23/2008 | Claimant(s): CCO Investment Services Corp. Claimant Lawyers(s): David M. Belcher Respondent(s): Kenneth Cusse Respondent Lawyers(s): Kenneth L. Cusse Arbitrator(s): Frank C. Fogl, David L. Hoffberg, Catherine Grantier Cooley Hearing Site: Buffalo, NY
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08-01936 | 12/23/2008 | Claimant(s): Dale Wright Claimant Lawyers(s): Gerry Kowalski Respondent(s): Joan Eades Respondent Lawyers(s): Joan G. Eades Arbitrator(s): Robert Charkovsky, Michael P. Falzone, Lawrence M. Barnes Hearing Site: Richmond, VA
| | Expungement |
07-02937 | 12/23/2008 | Claimant(s): Anat Cole, Steven Cole Claimant Lawyers(s): Anthony V. Trogan Respondent(s): Barry Goldstein, Ryan Shaw, Gunnallen Financial. Respondent Lawyers(s): Mark L. Kowalsky Arbitrator(s): Michael D. Patterson, Elizabeth K. Bransdorfer, Thomas W. Lawson Hearing Site: Detroit, MI
| | $35,000 |
05-03162 | 12/22/2008 | Claimant(s): James Bailey, Jeri Ghosh, Ken Powell, Leon Hadley, Leonard Gray, Marie Paulzak, Richard Powell, Rick Powell Claimant Lawyers(s): David L. McGee, George S. Trevor, Jeri M. Ghosh, Marie Josee Paulzak, Peter J. Mougey Respondent(s): Gary Paulzak, Jayanta Ghosh, Patrick Collins, Spelman & Co.. Respondent Lawyers(s): Gary Paulzak, George D. Fagan, Jayanta Ghosh, Mickey Wright Arbitrator(s): Ron C. Christner, John J. Meyer, James Francis Donovan Hearing Site: New Orleans, LA
| | Settlement |
07-00350 | 12/22/2008 | Claimant(s): Jose. E. Cruz, IRA Claimant Lawyers(s): Thomas D. Mauriello Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Joseph L. Calabrese Arbitrator(s): Cheryl R. Kershner, James Conrad Riewerts, Sharon Truluck Maier Hearing Site: San Francisco, CA
| | $75,000 |