| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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 |
