08-01005 | 11/06/2008 | Claimant(s): Peter Helms, Stephen Harrison, Exeter Financial LLC Claimant Lawyers(s): James K. Barbee Respondent(s): The Shemano Group. Respondent Lawyers(s): Douglas Hale Arbitrator(s): Shirley A. Lilien Hearing Site: Phoenix, AZ
| | $27,138 |
07-02907 | 11/06/2008 | Claimant(s): Lorraine Moskal, Lorraine Moskal IRA, Lorraine Moskall 2002 Trust Claimant Lawyers(s): Willliam H. Falin Respondent(s): Ameriprise Advisor Services., Gregory Vanek Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): C. Robert Rittberger, Jason C. Blackford, Ralph A. Beard Hearing Site: Cleveland, OH
| | $0 |
08-00408 | 11/06/2008 | Claimant(s): Ruth Farr Claimant Lawyers(s): William L. White Respondent(s): Wachovia Securities, Prudential Equity Group, UBS Services USA LLC Respondent Lawyers(s): Dan A. Rosenbaum, Demian J. Betz, Kenneth Fuchs Arbitrator(s): Richard W. Dissen Hearing Site: Pittsburgh, PA
| | $213 |
07-02763 | 11/05/2008 | Claimant(s): Thomas Payant Claimant Lawyers(s): Randall C. Place Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Leslie R. Murtagh Arbitrator(s): Robert W. Kneeland, Kenneth R. Starr, Randall Simmons Smith Hearing Site: Tampa, FL
| | |
07-01743 | 11/05/2008 | Claimant(s): General Investments. Claimant Lawyers(s): Thomas D. Jackson Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Diana A. Weiner, Gail E. Sasnett-Stauffer, Marshal H. Emerson Hearing Site: Tampa, FL
| | $0 |
08-00315 | 11/04/2008 | Claimant(s): Aubrey Wright and Martha Wright Claimant Lawyers(s): Andrew Stoltmann Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): S. Lawrence Polk Arbitrator(s): Perry Lee Taylor, Joyce F. Glucksman, Robert A. Dean Hearing Site: Atlanta, GA
| | $90,352 |
07-03290 | 11/04/2008 | Claimant(s): Patricia Gorski Claimant Lawyers(s): Allan P. Whitehead Respondent(s): Prudential Equity Group Respondent Lawyers(s): Brian D. Elias Arbitrator(s): Robert N. Duggan, Mitchel Weiss, Clarence B. Johnson, CLU, ChFC Hearing Site: Orlando, FL
| | $0 |
08-00251 | 11/04/2008 | Claimant(s): Bernice Follmer, Thomas Follmer Claimant Lawyers(s): William G. Clelland Respondent(s): Bradley Freimark, ProEquities., Safe Harbor Retirement Solutions Respondent Lawyers(s): Gerry Kowalski Arbitrator(s): Lawrence J. Welte, Kerry C. Koep, Robert S. Burk Hearing Site: Minneapolis, MN
| | $300 |
05-00842 | 11/03/2008 | Claimant(s): Abdallah Abdallah Claimant Lawyers(s): H. J. Rubinstein Respondent(s): Edward Skarbnik, Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc., Salomon Brothers. Respondent Lawyers(s): Edwin A. Zipf, Jacqueline M. Gorham Arbitrator(s): Nathan J. Minucci, Alvin Green, Emanuel Bloom Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
07-01397 | 11/03/2008 | Claimant(s): Robert Elliott Hall Claimant Lawyers(s): Leslie P. Poole Respondent(s): Joseph Stevens & Company. Respondent Lawyers(s): Michael C. Farkas Arbitrator(s): Irving A. Chesler, Suanne F. Goldman, Richard A. Van Kalker Hearing Site: Chicago, IL
| | $229,300 |