06-05080 | 08/21/2008 | Claimant(s): Voilet Wall, Violet M. Wall Trust Claimant Lawyers(s): G. Mark Brewer Respondent(s): Citigroup Global Markets., Robert Leverte Respondent Lawyers(s): William A. Hohauser Arbitrator(s): Elliott David Finkel, Gerald C. Tambe, Harris J. Howard Hearing Site: Los Angeles, CA
| | $0 |
06-01679 | 08/20/2008 | Claimant(s): Robert Montanino Claimant Lawyers(s): Bruce D. Oakes Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Donald P. Wray Arbitrator(s): Richard L. Herzfeld, Donald Raymond McNally, Mary Noe Hearing Site: New York, NY
| | $40,000 |
06-03260 | 08/19/2008 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Victor A. Machcinski Respondent(s): Haran Brucker Respondent Lawyers(s): Jenice L. Malecki Arbitrator(s): Arthur T. Jacobs, Kevin B. Naughten, Joan Ilivicky Hearing Site: New York, NY
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07-02603 | 08/19/2008 | Claimant(s): Robinson Bosworth Claimant Lawyers(s): Thomas L. Skalmoski Respondent(s): Robert W. Baird & Co. Incorporated Respondent Lawyers(s): Gregory G. Wille Arbitrator(s): Nicholas P. Iavarone, Kevin P. Gerard, Samuel Olutola Akeju Hearing Site: Milwaukee, WI
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08-00637 | 08/19/2008 | Claimant(s): Richard Fernandes Claimant Lawyers(s): Richard S. Fernandes Respondent(s): Gunnallen Financial Respondent Lawyers(s): Jay Marc Israel Arbitrator(s): Steven N. Ainbinder Hearing Site: Ft. Lauderdale, FL
| | $0 |
02-05828 | 08/18/2008 | Claimant(s): Larry Thompson Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Kevin Grunawalt, Carillon Investments. Respondent Lawyers(s): David A. Baugh, Gary M. Saretsky Arbitrator(s): Patrick R. Sughroue, Joseph H. Mizzi, Lee Hornberger Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
08-00320 | 08/15/2008 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward B. Magarian Respondent(s): Johan Leffler Respondent Lawyers(s): Johan W. Leffler Arbitrator(s): Jack B. Golden Hearing Site: Hartford, CT
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07-02458 | 08/15/2008 | Claimant(s): Amit Sela Claimant Lawyers(s): Thomas E. Propson Respondent(s): Jeffrey Schachtman, Oak Ridge Financial Services Group, In Respondent Lawyers(s): Christopher Grgurich Arbitrator(s): Judith A. Rogosheske, Andrew R. Dick, Julie A. Hennen Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
07-02602 | 08/15/2008 | Claimant(s): A. Ray Claimant Lawyers(s): Walter W. Bussart Respondent(s): James Bratcher, Securities Service Network. Respondent Lawyers(s): Christopher G. Lazarini Arbitrator(s): D. Bruce Shine, Coleman Robert Perry, Richard K. Smith Hearing Site: Nashville, TN
| | Dismissed by Rule 12206 |
06-02304 | 08/15/2008 | Claimant(s): Norman Hellerud Claimant Lawyers(s): Patrick N. Keegan Respondent(s): Bruce Oakes Respondent Lawyers(s): Bruce D. Oakes Arbitrator(s): Stephen R. Clark, James O. Johnson, Vytas Tarulis Hearing Site: San Diego, CA
| | $0 |