| 07-01349 | 07/25/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Judy Louie
Respondent(s): Paul Hitchcock
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Alexander L. Mazour, Paul A. D. Evans, Terri Coster Boesch
Hearing Site: San Francisco, CA
| | |
| 07-02653 | 07/25/2008 | Claimant(s): Robert Frank
Claimant Lawyers(s): Frank L. Kollman
Respondent(s): Ferris, Baker Watts Inc.
Respondent Lawyers(s): Susan M. Guerette
Arbitrator(s): Donald R. Giacomelli, Baunita M. Greer, Joan M. Smith
Hearing Site: Baltimore, MD
| | |
| 07-02940 | 07/25/2008 | Claimant(s): Don Chaifetz
Claimant Lawyers(s): Don Chaifetz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Edward G. Toptani
Hearing Site: New York, NY
|  | $213 |
| 07-01353 | 07/24/2008 | Claimant(s): Fran Brunwasser
Claimant Lawyers(s): Anthony Michael Sabino
Respondent(s): Eric Weisblum, Rushmore Capital.
Respondent Lawyers(s): Carole R. Bernstein
Arbitrator(s): Marguerite B. Filson, Leah R. Marks, Ellen Slipp
Hearing Site: New York, NY
| | Expungement |
| 07-03285 | 07/24/2008 | Claimant(s): Susan Sullivan
Claimant Lawyers(s): Jonathan Schaan
Respondent(s): Elena Kane, Lowell McCain, WMA Securities.
Respondent Lawyers(s): Cameron W. Thomas, William H. McLean
Arbitrator(s): Frederick K. Steiner
Hearing Site: Las Vegas, NV
| | $6,600 |
| 08-00205 | 07/24/2008 | Claimant(s): Alan Greenspan
Claimant Lawyers(s): Alan Neil Greenspan
Respondent(s): Zions Direct.
Respondent Lawyers(s): Kevin Klundt
Arbitrator(s): Arnold Levine
Hearing Site: Boca Raton, FL
| | $2,011 |
| 07-03376 | 07/23/2008 | Claimant(s): Scott Rosenberg
Claimant Lawyers(s): Scott Rosenberg
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Robert F. Sanville
Hearing Site: Philadelphia, PA
| | |
| 08-00147 | 07/23/2008 | Claimant(s): Pointe Capital.
Claimant Lawyers(s): Daniel R. Levene
Respondent(s): Kurt Muller
Respondent Lawyers(s): Kurt Yasin Muller
Arbitrator(s): Gilbert F. Bach
Hearing Site: New York, NY
| | |
| 06-04535 | 07/23/2008 | Claimant(s): Randy Bick, Bick Family Trust
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): James H. Frank, Ernest L. Burnside, Ian F. Gow
Hearing Site: Los Angeles, CA
| | $0 |
| 07-02094 | 07/23/2008 | Claimant(s): Mark Fritz
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Daniel Schrieber, Granite Financial Group
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Sanford Heiser, Thomas R. Skulina, Harvey Michael Rosenberg
Hearing Site: Cleveland, OH
| | $0 |
