| 07-03584 | 12/01/2008 | Claimant(s): Kathleen Vigiano, Maria Vigiano
Claimant Lawyers(s): Marc D. Powers
Respondent(s): Robert Kennedy, Robert J. Kennedy & Associates, Walnut Street Securities.
Respondent Lawyers(s): B. John Pendleton
Arbitrator(s): Marvin Schwartz, Alida D. Camp, Sharon A. McCloskey
Hearing Site: New York, NY
|  | $388,669 |
| 07-01144 | 11/28/2008 | Claimant(s): Judith Fogel
Claimant Lawyers(s): Joseph S. Fogel
Respondent(s): Financial West Group, Marc Tucker
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Vaughn Thomas Hale, Robert H. Wrenn, Willard H. Altman
Hearing Site: Los Angeles, CA
| | Expungement |
| 07-00200 | 11/26/2008 | Claimant(s): Angela Holifield, Sarah Frierson, TTEE of Marital TRT AGMT
Claimant Lawyers(s): William M. Cunningham
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Earle Park Kelley, Earle J. Schwarz, Suzette Merriam Foster
Hearing Site: Birmingham, AL
| | |
| 07-03302 | 11/26/2008 | Claimant(s): PNC Investments
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Victor D. Loper and Lonyae Loper
Respondent Lawyers(s): Victor D. Loper
Arbitrator(s): Patrick Sean Dolan
Hearing Site: Wilmington, DE
| | $0 |
| 07-00773 | 11/26/2008 | Claimant(s): Estee Gilad
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Andrew Costa, Costa Financial Securities.
Respondent Lawyers(s): Brain D. Buckstein, Brian D. Buckstein
Arbitrator(s): Steven Gerard Goerke, Alvin Spier, Lee E. Karofsky
Hearing Site: Boca Raton, FL
| | $85,225 |
| 07-03105 | 11/26/2008 | Claimant(s): Alvin McQuinn, Alvin E. McQuinn FLITE Trust
Claimant Lawyers(s): John Cotter, Mark J. Briol
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Steven M. Malina
Arbitrator(s): Lawrence J. Welte, Robert S. Burk, Daniel D. Hill
Hearing Site: Minneapolis, MN
| | $250,000 |
| 08-01223 | 11/26/2008 | Claimant(s): Arnold Allan
Claimant Lawyers(s): Arnold Michael Allan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): Robin Lynn Berry
Hearing Site: Reno, NV
| | $0 |
| 08-01414 | 11/26/2008 | Claimant(s): Clarence Rinderle
Claimant Lawyers(s): Clarence G. Rinderle
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): Gary P. Price
Hearing Site: Indianapolis, IN
| | $325 |
| 07-03257 | 11/25/2008 | Claimant(s): Stephen Jans
Claimant Lawyers(s): Oliver E. Nelson
Respondent(s): Kevin Miller, Fringe Benefits Design Of Minnesota, Intervest International Equities Corpora, Intervest International.
Respondent Lawyers(s): Marnie L. DeWall, Melissa D. Hubbard
Arbitrator(s): Edward C. Oliver, Andrew R. Dick, JD Haas
Hearing Site: Minneapolis, MN
| | |
| 08-00973 | 11/25/2008 | Claimant(s): Sun Li
Claimant Lawyers(s): Robert L. Lubin
Respondent(s): Jeff Clark
Respondent Lawyers(s): Jeff Clark
Arbitrator(s): James N. D'Orso, Katherine M. Van Hagan, Anthony G. Sousa
Hearing Site: San Francisco, CA
| | |
