| 07-02742 | 11/03/2008 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Alicia Etre
Respondent(s): Gene Harshman, Karen Loeschen, Krista Savage, Merrill Lynch Pierce Fenner & Smith Inc., Richard Marcolla, Robert Barry, Thomas Cutrone, William Easterling
Respondent Lawyers(s): Curtis C. Calloway, Todd J. Kaiser
Arbitrator(s): John N. Reidy, Frederick Michael Switzer, John Bruce Witwer
Hearing Site: St. Louis, MO
|  | $265,500 |
| 07-01435 | 10/31/2008 | Claimant(s): John Buglisi
Claimant Lawyers(s): Raji Kocchar
Respondent(s): Lewis Franklin
Respondent Lawyers(s): Lewis Joseph Franklin
Arbitrator(s): Judith C. Greene
Hearing Site: New York, NY
| | |
| 07-03357 | 10/31/2008 | Claimant(s): Gerald Tagge, Gregory Rutherford, Scott Norvell
Claimant Lawyers(s): David A. Domina
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): John T. Gerhart
Arbitrator(s): Bruce C. Young, Donald H. Loudon, Mark F. Marshall
Hearing Site: Omaha, NE
| | |
| 08-00112 | 10/31/2008 | Claimant(s): Brandon Henry
Claimant Lawyers(s): Mark J. Appleton
Respondent(s): Cascade Financial Management.
Respondent Lawyers(s): Vance O. Knapp
Arbitrator(s): Judith Ferris Witthohn, Charles A. Newton, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
| | |
| 08-01376 | 10/31/2008 | Claimant(s): Gwen Snorteland
Claimant Lawyers(s): Howard I. Elman
Respondent(s): Mizuho Securities USA Inc.
Respondent Lawyers(s): Ronald E. Richman
Arbitrator(s): Arnold L. Goren, Peter P. Skomorowsky, Arthur H. Sobel
Hearing Site: New York, NY
| | |
| 07-02804 | 10/31/2008 | Claimant(s): Charles Horberg, Sandra Horberg, Charles Horberg Jewelers. Pension
Claimant Lawyers(s): Eric E. Kalnins
Respondent(s): Sheldon Eisenberg, David A. Noyes & Company
Respondent Lawyers(s): Howard J. Stein
Arbitrator(s): Carmen P. Michelotti, Philip J. Glick, David M. Zimberoff
Hearing Site: Chicago, IL
| | $174,731 |
| 07-02969 | 10/31/2008 | Claimant(s): Salovich Family Trust
Claimant Lawyers(s): George V. Salovich
Respondent(s): Derek Uehara, Johanna Martin, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Edwin C. Shiver
Hearing Site: Las Vegas, NV
| | $0 |
| 08-01583 | 10/31/2008 | Claimant(s): Vincent Berarducci
Claimant Lawyers(s): Vincent J. Berarducci
Respondent(s): Optionshouse.
Respondent Lawyers(s): Lesley Smith
Arbitrator(s): Joseph L. Bernstein
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 07-01322 | 10/30/2008 | Claimant(s): Jack Moreland
Claimant Lawyers(s): Jeffrey S. Kruske
Respondent(s): Perkins, Smart and Boyd.
Respondent Lawyers(s): Edward A. McConwell
Arbitrator(s): Melford V. McCormick, Donald B. Clark, James R. Shetlar
Hearing Site: Kansas City, MO
| | |
| 07-02792 | 10/30/2008 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Marion J. Vomhof
Respondent(s): Stephen Brown
Respondent Lawyers(s): Robert S. Banks
Arbitrator(s): Gregory L. Abbott, Grant E. Griffith, Michael G. Hanlon
Hearing Site: Portland, OR
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