07-02886 | 10/06/2008 | Claimant(s): Sherpa Fund Claimant Lawyers(s): John R. Fahy Respondent(s): Robert Gioia, AFS Brokerage. Respondent Lawyers(s): Donald C. Hurwitz, Robert Gioia Arbitrator(s): Peter J. Conlon, John Courtade, Maryanne M. Esser Hearing Site: Dallas, TX
| | $0 |
07-02523 | 10/03/2008 | Claimant(s): Amy Gibbons Claimant Lawyers(s): Jonathan Sack Respondent(s): A.G. Edwards & Sons. Respondent Lawyers(s): Sandra D. Grannum Arbitrator(s): Jack Friedman, Valerie Robbin Watts, Andrea Harum Schiavoni Hearing Site: New York, NY
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05-00756 | 10/03/2008 | Claimant(s): Antonio Benedi Claimant Lawyers(s): Antonio Benedi Sarria Respondent(s): Jorge Naval, Pablo Guerrero, Paul Casella, Milestone Group Management Respondent Lawyers(s): Compliance Officer, Jorge Naval, Pablo Guerrero, Paul Jude Casella Arbitrator(s): Linda T. Pellegrino, Rick F. Suppa, Joseph H. Cerame Hearing Site: New York, NY
| | $50,808 |
06-02530 | 10/03/2008 | Claimant(s): Joseph A., and Judith A. Franko Claimant Lawyers(s): Nicholas J. Guiliano Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Jill A Guldin Arbitrator(s): John B. Ryan, Julian F. Santos, Piedad A. Bernikow Hearing Site: Philadelphia, PA
| | $300 |
07-01504 | 10/02/2008 | Claimant(s): RBC Dain Rauscher Inc. Claimant Lawyers(s): Donald S. Arbour Respondent(s): Joe Jennings, RBC Capital Markets Corporation Respondent Lawyers(s): John R. Jacobson, Philip B. Seaton Arbitrator(s): Thomas L. Maschmeyer, J. Maxwell Williams, Joseph R. Heinz Hearing Site: Memphis, TN
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07-02018 | 10/02/2008 | Claimant(s): EKN Financial Services Inc. Claimant Lawyers(s): Robert M. Bursky Respondent(s): Andrew Grant Respondent Lawyers(s): Mark D. Hunter Arbitrator(s): Romaine L. Gardner, Alexander Forti, John T. Cafferty Hearing Site: New York, NY
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08-00134 | 10/02/2008 | Claimant(s): National Securities Corporation Claimant Lawyers(s): Michael S. Colombo Respondent(s): Stephen Renaud Respondent Lawyers(s): Stephen Arthur Renaud Arbitrator(s): Doris Lindbergh Hearing Site: New York, NY
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06-05247 | 10/02/2008 | Claimant(s): Cheryl Symmes Claimant Lawyers(s): Mark Thomas Sophocles Respondent(s): Goldman, Sachs and Company, Todd Silaika Respondent Lawyers(s): Theodore R. Snyder Arbitrator(s): Robert R. Barker, Robert L. Chase, Philip S. Walker Hearing Site: New York, NY
| | Expungement |
07-03069 | 10/02/2008 | Claimant(s): Jeffrey Nielsen, Evans Creek, Guaranty Escrow Of MN., Hidden Glade Properties Claimant Lawyers(s): James K. Langdon Respondent(s): Darin Beckering, Charles Schwab & Co.. Respondent Lawyers(s): Gregory M. Scanlon Arbitrator(s): Mark S. Gleason, Lee T. Beske, Arthur Richard Tow Hearing Site: Minneapolis, MN
| | $542,340 |
08-00566 | 10/02/2008 | Claimant(s): Abraham Medina, Amdas. Claimant Lawyers(s): Abraham B. Medina Respondent(s): John Parmley, Scottrade. Respondent Lawyers(s): Ryan M. Blum Arbitrator(s): Robert J. Gregory Hearing Site: Dallas, TX
| | $0 |