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
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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
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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
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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
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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
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