07-01765 | 08/13/2008 | Claimant(s): Charles Westley, Mary Westley, Charles Ross Westley Life Ins. Revoc., Westley Living Trust Claimant Lawyers(s): James S. Helfrich Respondent(s): All-Vest Securities. Respondent Lawyers(s): Richard Virzera Arbitrator(s): Michelle D. Conklin, Thomas R. Bromberg, James Gary Fitch Hearing Site: Denver, CO
| | $133,000 |
07-03435 | 08/13/2008 | Claimant(s): Paul Vagnozzi, Estate of Charlotte Vagnozzi Claimant Lawyers(s): Richard DeVita Respondent(s): Enrico Caiazzo, UBS Financial Services Inc. Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Martin Kobak, John L. Braxton, Laura A. Kaster Hearing Site: Philadelphia, PA
| | $0 |
07-03083 | 08/12/2008 | Claimant(s): RBC Capital Markets Corporation Claimant Lawyers(s): Carolyn Guy Respondent(s): Anthony Russo Respondent Lawyers(s): Anthony Russo Arbitrator(s): Larry D. Hayden Hearing Site: Denver, CO
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06-02002 | 08/12/2008 | Claimant(s): Juluru Rao Claimant Lawyers(s): Kim Steven Juhase Respondent(s): Mark Ketner, Investec Ernest & Company Respondent Lawyers(s): David J. Butler Arbitrator(s): Sandralin J. Kiss, Renee S. Rothschild, Sharon A. McCloskey Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
07-01849 | 08/12/2008 | Claimant(s): Allan Varah Claimant Lawyers(s): Dena N. Varah Respondent(s): Mark Wesley, Synery Investment Group Respondent Lawyers(s): Jeffrey D. Jones Arbitrator(s): Evalyn Lipton Fishbein Hearing Site: Boston, MA
| | $13,196 |
07-02867 | 08/12/2008 | Claimant(s): Alaa Elhamrawy Claimant Lawyers(s): Alaa Elhamrawy Respondent(s): Online Brokerage Services. Respondent Lawyers(s): Kevin M. Overy Arbitrator(s): Brian J. Dunn, Paul F. Marandett, Susan Largay Hearing Site: Boston, MA
| | $0 |
07-03550 | 08/12/2008 | Claimant(s): Jack Heide Claimant Lawyers(s): Jack Heide Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Philip R. Lochner Hearing Site: New York, NY
| | $0 |
07-02052 | 08/11/2008 | Claimant(s): Libucki and Company. Claimant Lawyers(s): Debra G. Speyer Respondent(s): Birchwood Securities Corporation Respondent Lawyers(s): Paula D. Shaffner Arbitrator(s): Michael D. Neft, Kenneth Joseph Beahan, Court O. Anderson Hearing Site: Philadelphia, PA
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08-00746 | 08/11/2008 | Claimant(s): Edwin Lee, Michelle Lee Claimant Lawyers(s): Edwin Lee Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Angela A. Turiano Arbitrator(s): Charles Ajamian Hearing Site: Newark, NJ
| | $1,233 |
07-01912 | 08/11/2008 | Claimant(s): The Estate of Leonard D. Miles,, Marian J. Miles IRA, Leonard D. Miles and Marian J. Miles, Marian J. Miles Family Trust Claimant Lawyers(s): William B. Young Respondent(s): MidSouth Capital. Respondent Lawyers(s): Thomas R. Todd, Jr Arbitrator(s): Brian G. Mooney, Robert L. Hudson, Glenn W. Wheelock Hearing Site: Orlando, FL
| | $225 |