| 07-03612 | 09/23/2008 | Claimant(s): Adol Owen-Williams
Claimant Lawyers(s): James F. Shalleck
Respondent(s): BB&T Investment Services.
Respondent Lawyers(s): Alan L. Briggs
Arbitrator(s): Theodore W. Urban, Louis Nebel, Merle D. Rockwell
Hearing Site: Washington, DC
| | |
| 07-03047 | 09/23/2008 | Claimant(s): Lisa Cavaliere
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Thomas P. Briody
Arbitrator(s): Aaron Friedman, Robert A. Vaccaro, William E. Nuckel
Hearing Site: New York, NY
|  | $0 |
| 07-02449 | 09/22/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Richard Smithson
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Edward T. Borer, Stephen T. Mayhew, Jack H. McNairy
Hearing Site: Philadelphia, PA
| | |
| 07-02877 | 09/22/2008 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Martin Q. Ryan
Respondent(s): Scott Tischler
Respondent Lawyers(s): Scott Gregory Crowley
Arbitrator(s): Ida W. Draim, Keith A. Green, Donna L. Cooper
Hearing Site: Richmond, VA
| | |
| 08-01162 | 09/22/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Thomas Hodges
Respondent Lawyers(s): Thomas S. Hodges
Arbitrator(s): Emily J. Lewis, John B. Glueckert, Jo Ann Numbers
Hearing Site: Cincinnati, OH
| | Stipulated Award |
| 07-03225 | 09/22/2008 | Claimant(s): Elinor Nielsen, James Nielsen, James & Elinor Nielsen Living Trust
Claimant Lawyers(s): Kristin M. Cano
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Curt H. Mueller
Arbitrator(s): Barbara M. Zak, Mark A. Levy, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
| | $304,478 |
| 05-06675 | 09/22/2008 | Claimant(s): Don Hutcherson, IRA, Don and Eleanor J. Hutcherson
Claimant Lawyers(s): Hardin R. Ramey
Respondent(s): Craig Bonn, Martin Sands, Steven Sands, Laidlaw & Company (UK)LTD., Sands Brothers & Co., Ltd.
Respondent Lawyers(s): Clint A. Corrie
Arbitrator(s): Phillip Lee Scheldt, Charles T. Dix, Anthony William (Bill) Kashouty
Hearing Site: Dallas, TX
| | $0 |
| 07-03094 | 09/22/2008 | Claimant(s): Samuel Cole dba csafinancials.com
Claimant Lawyers(s): Samuel Cole
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): Steven P. Gregory, David T. Maddux, Frank E. Barnett
Hearing Site: Nashville, TN
| | $0 |
| 07-02565 | 09/15/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Kret
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Carmen P. Michelotti, Gary D. Krueger, James A. Murphy
Hearing Site: Chicago, IL
| | |
| 08-00492 | 09/15/2008 | Claimant(s): Santander Securities Corporation
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): Juan Maldonado
Respondent Lawyers(s): Juan Javier Maldonado
Arbitrator(s): Daniel H. Yaffe
Hearing Site: San Juan, PR
| | |
