07-02797 | 10/15/2008 | Claimant(s): John Anderson Claimant Lawyers(s): Steven E. Rau Respondent(s): A.G. Edwards & Sons. Respondent Lawyers(s): Brent J. Burtin Arbitrator(s): William J. Rosso, Richard W. Thiele, John D. Campion Hearing Site: Minneapolis, MN
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08-00488 | 10/15/2008 | Claimant(s): Robert Schultz Claimant Lawyers(s): Robert E. Schultz Respondent(s): Edward Wedbush, Jonathan Carr, Michael Gardner, R.J. Richards Respondent Lawyers(s): John W. Stenson Arbitrator(s): Ronald E. Ogden Hearing Site: Los Angeles, CA
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08-01113 | 10/15/2008 | Claimant(s): Howard Braff Claimant Lawyers(s): Howard Braff Respondent(s): Peter Dunne Respondent Lawyers(s): Howard E. Greenbert Arbitrator(s): Robert E. Holley Hearing Site: New York, NY
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06-02307 | 10/15/2008 | Claimant(s): Robert J. and Betty J. Treat Claimant Lawyers(s): Bruce D. Oakes Respondent(s): 1717 Capital Management Company Respondent Lawyers(s): Natalie T. Furniss Arbitrator(s): Mark D. Sadow, John R. Loss, Jeffrey Caleb Etter Hearing Site: St. Louis, MO
| | $99,295 |
06-05368 | 10/15/2008 | Claimant(s): Ji Wei Claimant Lawyers(s): Bruce J. Rome Respondent(s): Credit Suisse Securities (USA) LLC, Zhu Jun, Natural Flow Limited Respondent Lawyers(s): Brian F. Amery, Bruce J. Rome, Jason P. Lee Arbitrator(s): Charles E. Farnsworth, Jerold R. Babin, James S. Martin Hearing Site: San Francisco, CA
| | Stipulated Award |
07-02871 | 10/15/2008 | Claimant(s): Thomas Ferencak Claimant Lawyers(s): David L. McGee Respondent(s): Joseph Ciliberti, Scottrade. Respondent Lawyers(s): Joel E. Davidson Arbitrator(s): Fred M. Ridolphi, Charles A. Bosworth, Alton B. Lewis Hearing Site: New Orleans, LA
| | Stipulated Award and Expungement |
07-03478 | 10/14/2008 | Claimant(s): Michael Villasana Claimant Lawyers(s): Peter J. Aldrich Respondent(s): Gloria Gomez Respondent Lawyers(s): Gloria Gomez Arbitrator(s): John J. Hearn, Lawrence S. Silver, Neil J. Berman Hearing Site: Miami, FL
| | Expungement |
07-01887 | 10/14/2008 | Claimant(s): G. Perros Claimant Lawyers(s): Alex Coulter Cross Respondent(s): J.J.B. Hilliard, W.L. Lyons Respondent Lawyers(s): Kenneth A. Bravo Arbitrator(s): Alex H. Keller, Randall S. Strause, Jarrett Andrew Jacobs Hearing Site: Louisville, KY
| | $128,920 |
08-00668 | 10/14/2008 | Claimant(s): David Hicks, John Gilchrist, Nancy Frasier Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Douglas Crowe, MetLife Securities., Metropolitan Life Insurance Company Respondent Lawyers(s): Mickey B. Wright Arbitrator(s): Irving M. Shlesinger, David L. Walby, Samuel C. Johnson Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
07-03489 | 10/14/2008 | Claimant(s): Miguel A. Falcon and Marta Ortiz-Cruz Claimant Lawyers(s): Elba Sanchez-Gonzalez Respondent(s): Citigroup Global Markets Puerto Rico Inc Respondent Lawyers(s): Joseph L. Calabrese Arbitrator(s): Elena G. Rodriguez, Jonathan H. Parker, Reinaldo Royo Hearing Site: San Juan, PR
| | $0 |