| 07-03230 | 12/05/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Alfredo Grandal
Respondent Lawyers(s): Jason Lopez
Arbitrator(s): Bernard (Bob) L. Loring, Ralph H. Emer, Lee Alan Rosenblum
Hearing Site: Boca Raton, FL
| | |
| 08-00291 | 12/05/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Dewey Steffen
Respondent Lawyers(s): Gregory J. Boulahanis
Arbitrator(s): Robert A. Vogler, Stephen D. Arkwright, Conrad W. Koski
Hearing Site: Detroit, MI
| | |
| 08-00769 | 12/05/2008 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Philip J. Campisi
Respondent(s): Todd Potter
Respondent Lawyers(s): Todd R. Potter
Arbitrator(s): Frank F. Foys, Howard B. Silverman, John C. Bierbusse
Hearing Site: Chicago, IL
| | |
| 07-03116 | 12/05/2008 | Claimant(s): Janice Owen
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): Summit Brokerage Services.
Respondent Lawyers(s): Francis M. Curran
Arbitrator(s): John P. Cullem, Oscar W. Carlson, David M. Snyder
Hearing Site: Clearwater, FL
|  | $34,632 |
| 07-03476 | 12/05/2008 | Claimant(s): Virginia McGaughran, Omega Psychology Center.
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Steven N. Ainbinder, Michael T. Williams, Harold S. Stern
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 07-02941 | 12/05/2008 | Claimant(s): Basil Marryshow, Basil A. Marryshow, IRA, Profit Sharing Plan
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): John H. Ewing, Michael R. Stabile, Walter J. Blenko
Hearing Site: Pittsburgh, PA
| | $0 |
| 07-00984 | 12/04/2008 | Claimant(s): American Capital Partners
Claimant Lawyers(s): Christopher Albanese
Respondent(s): Matthew Ferber
Respondent Lawyers(s): Matthew James Ferber
Arbitrator(s): Donald J. Rasweiler, Michael P. Golden, Allen I. Cederbaum
Hearing Site: New York, NY
| | |
| 07-03003 | 12/04/2008 | Claimant(s): Prestige Financial Center.
Claimant Lawyers(s): Brian H. Reis
Respondent(s): Christopher Fallo
Respondent Lawyers(s): Ethan Leonard
Arbitrator(s): Raymond Nardo, W. Alexander Melbardis, Howard L. Haykin
Hearing Site: New York, NY
| | |
| 08-00718 | 12/04/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Diane Spencer
Respondent Lawyers(s): Christopher M. Devito
Arbitrator(s): Gary R. Miles, Robert P. Weisberger, Michael Brian McCord
Hearing Site: Cleveland, OH
| | |
| 08-01290 | 12/04/2008 | Claimant(s): Russell Hartstein
Claimant Lawyers(s): Russell Hartstein
Respondent(s): Hold Brothers On-line Investment Svcs.
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Raymond Nardo
Hearing Site: New York, NY
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