| 03-03017 | 09/04/2008 | Claimant(s): Justin Perlstrom
Claimant Lawyers(s): Christopher Mader
Respondent(s): Barbara Ralston, Charles Lazzaro, John Openshaw, First Wall Street Corporation
Respondent Lawyers(s): Barbara J. Ralston, Charles P. Lazzaro, John R. Openshaw, Patrick Baldwin
Arbitrator(s): Larry Edmonson, Marcus J. Anwyl-Davies, William S. Diver
Hearing Site: Los Angeles, CA
|  | Expungement |
| 07-02981 | 09/03/2008 | Claimant(s): Ryan Beck & Co.,
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Herbert Hunt
Respondent Lawyers(s): Herbert Hunt
Arbitrator(s): Rita E. Tholt
Hearing Site: Cleveland, OH
| | |
| 08-01076 | 09/03/2008 | Claimant(s): Fordham Financial Management.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Samuel Kirt
Respondent Lawyers(s): Samuel Kirt
Arbitrator(s): Robert E. Holley
Hearing Site: New York, NY
| | |
| 08-00641 | 09/03/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A Karoly
Respondent(s): Donald Newman, New Man.
Respondent Lawyers(s): Donald E. Newman
Arbitrator(s): Laurel Littman Gothelf, William A. Husa, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | |
| 07-02704 | 09/03/2008 | Claimant(s): Christy Routh, Stephen Routh, Tetons Inc. Def. Benefit Pension Plan
Claimant Lawyers(s): John J. Miller
Respondent(s): Frank Barber, ING Financial Partners., Locust Street Securities.
Respondent Lawyers(s): Jesse Linebaugh, Ross A. Anderson
Arbitrator(s): Michael D. Fitzgerald, Michael Braude
Hearing Site: Kansas City, MO
| | $168,300 |
| 07-02628 | 09/02/2008 | Claimant(s): Evan Bedell
Claimant Lawyers(s): C. Robert Peterson
Respondent(s): Viney Singal, Silver Pacific Advisors
Respondent Lawyers(s): Suvinder S. Ahluwalia
Arbitrator(s): David M. Seidner, Philip H. Marmurowski, Peter D. Steinbroner
Hearing Site: Las Vegas, NV
| | |
| 07-01893 | 09/02/2008 | Claimant(s): HGL Consulting/Research LTD, H. George and Angelika M. Lundburg Jt, Lola D. Thomas Trust
Claimant Lawyers(s): Carl H. Osaki
Respondent(s): Charles Sebrell, Dwayne Mukai, Morgan Stanley & Co., Paul Saferstein, Richard Mosko, Robert Tung, Susan Lane
Respondent Lawyers(s): David R. Maurer
Arbitrator(s): Robin Lynn Berry, James K. Hoenig, Gregory M. Scanlon
Hearing Site: Honolulu, HI
| | $0 |
| 06-04695 | 08/29/2008 | Claimant(s): Flavia LoCoco
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Jason S. Mills
Arbitrator(s): Ralph H. Erickson, Holly Banafsheh, Steven K. Ogata
Hearing Site: Los Angeles, CA
| | |
| 06-05295 | 08/29/2008 | Claimant(s): Curt Reed
Claimant Lawyers(s): Lawrence J. Fossi
Respondent(s): Lincoln Financial Advisors Corporation, The Lincoln National Life Insurance Co
Respondent Lawyers(s): David J. Novotny
Arbitrator(s): Dennis Michael Kelleher, Joseph J. Woodford, Michael D. Briggs
Hearing Site: San Diego, CA
| | |
| 07-02566 | 08/29/2008 | Claimant(s): GunnAllen Financial.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Michael Poutre, II, Shlomi Eplboim
Respondent Lawyers(s): Michael Poutre, Shlomi Eplboim
Arbitrator(s): Robert Taylor, Blaine Smith, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
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