07-02359 | 08/08/2008 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Thomas A. Volz Respondent(s): Michael Cole Respondent Lawyers(s): Michael W. Cole Arbitrator(s): Lewis W. Slaughter, Robert H. Nelson, Gary F. Lang Hearing Site: Orlando, FL
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07-02921 | 08/08/2008 | Claimant(s): Anthony Russo, Christopher Drake, David Luna, Stifel, Nicolaus & Co.., Donald Johns, Edward Gutierrez, Herbert Keyser, Jon Bostrom, Linda Swart-Scipione, Lisa Evans, Lisa McCrea, Manuel Lozano, Michael Nielsen, Raymond Reed Claimant Lawyers(s): Joseph A. Dougherty, Kenneth C. Mennemeier Respondent(s): Wachovia Securities, A.G. Edwards & Sons. Respondent Lawyers(s): Jordan D. Becker Arbitrator(s): Keith D. Patten, Robert W. Dempsey, Jeffrey N. Sullivan Hearing Site: St. Louis, MO
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08-00207 | 08/08/2008 | Claimant(s): Milton Leeman Claimant Lawyers(s): W. Scott Turnbull Respondent(s): George Babyak Respondent Lawyers(s): Jennie K. Ferguson Arbitrator(s): Charles D. Underwood, Christy K. Radigan, Matthew Harold Fields Hearing Site: Columbus, OH
| | Expungement |
07-02956 | 08/08/2008 | Claimant(s): Isidore Fields and Dolores Fields Claimant Lawyers(s): Isidore Fields Respondent(s): Chase Investment Services Corp., Loren Bailey, Nicholas Manchisi Respondent Lawyers(s): Sheila E. Carson Arbitrator(s): Walter A. Kapuscinski, Kenneth J. Horowitz, S. Charles Tabak Hearing Site: Newark, NJ
| | $0 |
07-03305 | 08/08/2008 | Claimant(s): Gary Stibel Claimant Lawyers(s): Patrick R. Smith Respondent(s): Citadel Derivatives Group LLC Respondent Lawyers(s): Michael S. Weisman Arbitrator(s): Ernest Fanwick Hearing Site: Hartford, CT
| | $0 |
05-01538 | 08/07/2008 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Mark L. Kowalsky Respondent(s): Kenneth Cecil Respondent Lawyers(s): Jon D. Cohen Arbitrator(s): Fay Clayton, Daniel Baruch Lidawer, Kathleen Hoey Gorr Hearing Site: Chicago, IL
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07-03566 | 08/07/2008 | Claimant(s): Paul Burns Claimant Lawyers(s): Paul Raymond Burns Respondent(s): Lincoln Financial Advisors Respondent Lawyers(s): Jonathan J. Myers Arbitrator(s): Samuel L. McClaren Hearing Site: Phoenix, AZ
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08-00157 | 08/07/2008 | Claimant(s): Samuel Short Claimant Lawyers(s): Samuel P. Short Respondent(s): James Kelsoe, Morgan Keegan & Company. Respondent Lawyers(s): Shea O'Brien Hicks Arbitrator(s): Donald Milo Helton Hearing Site: Birmingham, AL
| | $15,425 |
06-05306 | 08/07/2008 | Claimant(s): Gustavo Vildosola Castro, Lorenza de Vildosola, Gustavo Vildosola & Lorenza Ramos de V Claimant Lawyers(s): Richard A. Heller, Vincent D. Slavens Respondent(s): Citigroup Global Markets., Juan Cabanas-Vildosola, UBS Financial Services Inc. Respondent Lawyers(s): Gilbert R. Serota, Samuel A. Keesal Arbitrator(s): Guenter S. Cohn, Doris V. Knotter, James Paul Estes Hearing Site: San Diego, CA
| | $0 |
07-03416 | 08/07/2008 | Claimant(s): Sonia Moriarty Claimant Lawyers(s): Sonia L Moriarty Respondent(s): Edward Jones Respondent Lawyers(s): Kimber Monroe Arbitrator(s): Karla Y. Vogel Hearing Site: Atlanta, GA
| | $0 |