| 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
| | |
| 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
| | |
| 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 |
