| 08-00751 | 11/13/2008 | Claimant(s): Jacqueline F. and Adam P. Paulausky
Claimant Lawyers(s): Jacquline F. Paulausky
Respondent(s): Wachovia Securities, Todd Griffith
Respondent Lawyers(s): William Port
Arbitrator(s): J. Maxwell Williams
Hearing Site: Clearwater, FL
|  | $163 |
| 08-01306 | 11/13/2008 | Claimant(s): Lap Chang
Claimant Lawyers(s): Lap F Chang
Respondent(s): HSBS Securities (USA) Inc.
Respondent Lawyers(s): Tracy S. Woodrow
Arbitrator(s): Denzil J. Klippel
Hearing Site: New York, NY
| | $0 |
| 07-02149 | 11/12/2008 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Carl Anderson
Respondent Lawyers(s): Carl J. Anderson
Arbitrator(s): Henry Ott-Hansen, Michael D. Neft, Robert G. Conway
Hearing Site: Pittsburgh, PA
| | |
| 07-03252 | 11/12/2008 | Claimant(s): Richard McFarland
Claimant Lawyers(s): Richard McFarland
Respondent(s): Associated Securities Corp.
Respondent Lawyers(s): Teri Zimon
Arbitrator(s): James R. Dickson
Hearing Site: San Francisco, CA
| | |
| 08-00689 | 11/12/2008 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Jonathan Stewart
Respondent Lawyers(s): William J. Schifino
Arbitrator(s): Terry G. Cleaves, William H. Steinbrenner, Robert C. Werner
Hearing Site: Orlando, FL
| | |
| 08-01040 | 11/12/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Gregory R. Crochet
Respondent(s): Francisco Diaz
Respondent Lawyers(s): Francisco A. Diaz
Arbitrator(s): G. Robert Abrams
Hearing Site: Miami, FL
| | |
| 08-01353 | 11/12/2008 | Claimant(s): Katherine Knowlden-Ryerson
Claimant Lawyers(s): Katherine C. Knowlden-Ryerson
Respondent(s): Primevest Financial Services.
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): Joseph O'Donnell
Hearing Site: Baltimore, MD
| | |
| 07-03227 | 11/12/2008 | Claimant(s): Bayan Jamous, Feda Jamous
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): A.J. Keyser, Wachovia Securities, Robert Schneller
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): John J. Muldowney, Donald B. Vaden, Arthur B. O'Connell
Hearing Site: Richmond, VA
| | $525,000 |
| 08-00750 | 11/12/2008 | Claimant(s): Michael Stoltz
Claimant Lawyers(s): Michael Stoltz
Respondent(s): Barton Young, Raymond, James & Associates.
Respondent Lawyers(s): Kelli Bullington
Arbitrator(s): Bernard F. Vail
Hearing Site: Helena, MT
| | $13,671 |
| 08-01569 | 11/12/2008 | Claimant(s): John Scaramella
Claimant Lawyers(s): John Scaramella
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): James B. Eichberg, Dominic Alecci, Craig Stanley Ralston
Hearing Site: Denver, CO
| | $0 |
