| 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 |
