| 08-01014 | 12/18/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Coffee
Respondent Lawyers(s): David S. Coffee
Arbitrator(s): John Michael Watson, William J. Kirkpatrick, Gary L. Foose
Hearing Site: Houston, TX
| | |
| 08-01218 | 12/18/2008 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Jeffrey Myers, Joseph Downey, Long Island Wealth Management
Respondent Lawyers(s): Louis M. Lagalante, Michael P. Gilmore
Arbitrator(s): Ann C. Northern, John R. O'Hanlon, Andrew H. Freund
Hearing Site: New York, NY
| | |
| 08-00685 | 12/18/2008 | Claimant(s): Dennis Rosenstock
Claimant Lawyers(s): James D. Portman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Robert J. Ruben, Elizabeth A. Copley, David Nielsen
Hearing Site: Los Angeles, CA
|  | $0 |
| 07-03128 | 12/17/2008 | Claimant(s): Walter A. Flick & Judith R. Flick JTWROS
Claimant Lawyers(s): David S. Blessing
Respondent(s): Russell Stansell, Kovack Securities Inc.
Respondent Lawyers(s): Brian Kovack, Russell Dean Stansell
Arbitrator(s): Bill Swinford, Alex H. Keller, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
| | $52,515 |
| 08-00863 | 12/17/2008 | Claimant(s): Jerome Albert Trust uad 10/23/1986
Claimant Lawyers(s): John J. Muldoon
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Peter Ordower, Mary A. Duffy, Howard David Goodfriend
Hearing Site: Chicago, IL
| | $12,250 |
| 07-00893 | 12/16/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Todd Ratner
Respondent(s): John Kuehl
Respondent Lawyers(s): David W. Dow
Arbitrator(s): Jerry H. Friedland, Paul T. Sachs, Jeffrey Charles Evanello
Hearing Site: Phoenix, AZ
| | |
| 07-02880 | 12/16/2008 | Claimant(s): Michael Cooper
Claimant Lawyers(s): Michael Cooper
Respondent(s): Michael Shuckerow, Citistreet Advisors LLC
Respondent Lawyers(s): James H. McQuade
Arbitrator(s): Lewis W. Slaughter, Charles R. Tindell, Richard J. Fuller
Hearing Site: Orlando, FL
| | |
| 07-03578 | 12/16/2008 | Claimant(s): Maria Alcoreza
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Leonard & Company
Respondent Lawyers(s): Dennis J. Levasseur
Arbitrator(s): Patrick R. Sughroue, Eugene Kenneth Laporte, Anthony W. Candela
Hearing Site: Detroit, MI
| | $155,415 |
| 08-00249 | 12/16/2008 | Claimant(s): William Goldstein, M.D.
Claimant Lawyers(s): Elizabeth Zeck
Respondent(s): Emmett A. Larkin Company.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Victor F. Alvarez, Sarah G. Anderson, James C. Hoover
Hearing Site: Columbia, SC
| | $39,468 |
| 04-08019 | 12/16/2008 | Claimant(s): The Kramer Family Trust dtd 05/25/77
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | $0 |
