07-00281 | 08/29/2008 | Claimant(s): Ronald Gilman Claimant Lawyers(s): David Gaba Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Shea O'Brien Hicks Arbitrator(s): Chesley Oriel, Joseph J. Slotnik, Andrew J. Tine Hearing Site: Providence, RI
| | $106,000 |
07-02775 | 08/29/2008 | Claimant(s): James Baxter, Kathleen King, Betty/James E. Baxter, II, Joint Tenants, John/James E. Baxter Claimant Lawyers(s): William D. Bayliss Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Stuart H. Dunn, Keith A. Green, Roderick B. Mathews Hearing Site: Richmond, VA
| | $223,910 |
05-04558 | 08/28/2008 | Claimant(s): Joseph and Isabel Prischak Claimant Lawyers(s): Douglas R. Jennings Respondent(s): Malcolm Dale Respondent Lawyers(s): Malcolm T. Dale Arbitrator(s): Beth Rackley Hesselson, Donald A. Olszewski, Albert Joseph Boucek Hearing Site: Pittsburgh, PA
| | Stipulated Award |
06-05046 | 08/28/2008 | Claimant(s): Steven Bickel Claimant Lawyers(s): Frank E. Bremmer Respondent(s): John Humphrey, A.G. Edwards & Sons., Robert Burns Respondent Lawyers(s): Brent J. Burtin, John James Humphrey Arbitrator(s): David J. Anderson, Gerald F. Corrigan, David Nielsen Hearing Site: Los Angeles, CA
| | No Info |
07-02314 | 08/28/2008 | Claimant(s): Susan Key Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Arnold Riley, Debra Mae Stephens, Citigroup Global Markets., Michael Handlin, Ozzie Bauer, Thomas Howard, Financial Network Investment Corp., ING Financial Advisers Respondent Lawyers(s): Andrew R. Harvin, Greg Moore, Hugo A. Hilgendorff, IV Arbitrator(s): Leonard J. Sullivan, Jeffrey M. Aboloff, Philip I. McConnell Hearing Site: Houston, TX
| | Stipulated Award and Expungement |
06-04000 | 08/27/2008 | Claimant(s): Caroline Rothstein, Craig Gould, Shelton Shefferman, Steven Rothstein, Steven A. Rothstein C/F Natalie Rothstei, Nancy Rothstein IRA, Steven A. Rothstein IRA Claimant Lawyers(s): Jonathan M Cyrluk Respondent(s): Mark Goldwasser Respondent Lawyers(s): Givonna L. Long Arbitrator(s): Donald M. Thompson, Lisa A Randall-Haag, Adrian E. Mazar Hearing Site: Chicago, IL
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06-04808 | 08/27/2008 | Claimant(s): Chestnut Energy Partners., a/k/a Claimant Lawyers(s): John T. Gerhart Respondent(s): Thomas Tapia Respondent Lawyers(s): Thomas Tapia Arbitrator(s): Joann Peters, Peter J. Conlon, Edward J. Lynch Hearing Site: Dallas, TX
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07-02772 | 08/27/2008 | Claimant(s): Robert Laurent Claimant Lawyers(s): Samuel J. Samaro Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Leslie R. Murtagh Arbitrator(s): Dwight Wassong, Thomas A. Abitabile Hearing Site: Newark, NJ
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07-03610 | 08/27/2008 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Richard A. Karoly Respondent(s): Leigh Patten Respondent Lawyers(s): Christina M. Latta Arbitrator(s): Michael R. Scott, John M. Casey, Keith R Anderson Hearing Site: Seattle, WA
| | Stipulated Award |
06-02734 | 08/27/2008 | Claimant(s): Michael Waks Claimant Lawyers(s): Michael L. Meeks Respondent(s): David Goodenough, Melody Li, Thomas Birk, Lehman Brothers Inc Respondent Lawyers(s): Eric M. George, Neal S. Robb Arbitrator(s): Mary M. O'Neil, Vytas Tarulis, Steven K. Ogata Hearing Site: Los Angeles, CA
| | $52,314 |