07-02189 | 10/08/2008 | Claimant(s): Joan Donohue, Todd Donohue, Joan E. Donohue, IRA Claimant Lawyers(s): Richard J. Edson Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Hugo A. Hilgendorff Arbitrator(s): Thomas M. Crawford, Edith M. Novack, Steven A. Infante Hearing Site: New York, NY
| | Expungement |
06-04971 | 10/07/2008 | Claimant(s): Larry Fullmer Claimant Lawyers(s): Rogge Dunn Respondent(s): Goldman, Sachs and Company Respondent Lawyers(s): Robin D. Fessel Arbitrator(s): George H. Casey, Dorothy B. Strackbein, Mark A. Levy Hearing Site: Los Angeles, CA
| | |
08-00989 | 10/07/2008 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Richard A. Karoly Respondent(s): Yossi Gabay Respondent Lawyers(s): Yossi Gabay Arbitrator(s): Kathryn L. Krebs, Martin Perlberger, Robert F. Saint-Aubin Hearing Site: Los Angeles, CA
| | $0 |
07-00348 | 10/07/2008 | Claimant(s): Herald Curtis Levy IRA Claimant Lawyers(s): Mark Wilson Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Curt Roy Hineline Arbitrator(s): Joseph W. Cheek, Bert P. Krages, William H. King Hearing Site: Portland, OR
| | $121,780 |
07-02938 | 10/07/2008 | Claimant(s): Antoinette Peltz, Jeffrey Peltz Claimant Lawyers(s): Geoffrey C. Brown Respondent(s): Mark Moyer, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn R. Eldridge Arbitrator(s): Richard W. Gambs, Harlita R. Tomlinson, William Culver Hearing Site: Columbus, OH
| | $51,400 |
07-02494 | 10/07/2008 | Claimant(s): John Gentis Claimant Lawyers(s): Michael C. Addison Respondent(s): ING America Equities. Respondent Lawyers(s): Theodore J. Sawicki Arbitrator(s): Paul Sidney Elliott, JD, William R. Turner, Stephen Earl Clark Hearing Site: Tampa, FL
| | $100 |
08-01202 | 10/07/2008 | Claimant(s): Patricia A. Goundry, Robert J. Goundry Claimant Lawyers(s): Patricia Goundry, Robert Goundry Respondent(s): TD Ameritrade. Respondent Lawyers(s): James Vihstadt Arbitrator(s): Philip B. Whitaker Hearing Site: Albuquerque, NM
| | $1,000 |
07-01783 | 10/06/2008 | Claimant(s): Pamela Schmidt, Pamela A. Schmidt Trust Claimant Lawyers(s): Thomas P. Swigert Respondent(s): Raymond James Financial Services., Thomas Shian Respondent Lawyers(s): Erin Linehan, Thomas Shian Arbitrator(s): Emily F. Seesel, Paul J. Hennen, Steven M. Bialick Hearing Site: Minneapolis, MN
| | $145,300 |
07-00998 | 10/06/2008 | Claimant(s): Ed L.Gueth Sr. and Sandy L. Gueth Claimant Lawyers(s): Ed L. Gueth Respondent(s): Ameriprise Financial Services., Joan Coke Respondent Lawyers(s): Niels P. Murphy Arbitrator(s): Robert Finder Hearing Site: Orlando, FL
| | $0 |
07-01775 | 10/06/2008 | Claimant(s): Elizabeth Burnell, Estate of Brian Burnell Claimant Lawyers(s): John Hanzel Respondent(s): Frank Black, Southeast Investments, N.C.. Respondent Lawyers(s): Frank H. Black Arbitrator(s): Lynne T. Albert, Leslie R. Berro, Richard E. Miley Hearing Site: Charlotte, NC
| | $0 |