07-02466 | 07/17/2008 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Joseph Sherrick Respondent Lawyers(s): Joseph J. Sherrick Arbitrator(s): Bonnie K. Wachtel, Donald R. Giacomelli, Stephanie Wagner Ketchum Hearing Site: Baltimore, MD
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07-00768 | 07/17/2008 | Claimant(s): Betty Gunn Claimant Lawyers(s): Richard B. Fosher Respondent(s): Jonathan Zulauf, Edward Jones Respondent Lawyers(s): Peter B. Schaeffer, Richard P. Darke Arbitrator(s): William H. Tobin, David J. Langseth, Stephen W. Mack Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
07-00796 | 07/17/2008 | Claimant(s): John Simon Claimant Lawyers(s): Darren C. Blum Respondent(s): Arthur Lewis, CIBC World Markets Corp., Jeff Bank, Susan Sutherland Respondent Lawyers(s): Matthew N. Thibaut Arbitrator(s): Gary M. Landau, Frances D. Sheehy, Jonathan H. Parker Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
07-02404 | 07/16/2008 | Claimant(s): Waddell & Reed Claimant Lawyers(s): Matthew R. Stammel Respondent(s): A. Waddell Respondent Lawyers(s): James A. Batson Arbitrator(s): Bonnie K. Wachtel, Gerald Charnoff, Barbara B. Franklin Hearing Site: Washington, DC
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00-05367 | 07/16/2008 | Claimant(s): Souad Widmeyer, Harry & Audrey Iverson Claimant Lawyers(s): Souad Y. Widmeyer Respondent(s): Cooke Christopher, Jeffrey Schwertfeger, Stoney Lee, Jeffco Financial Services Respondent Lawyers(s): Clinton L. Hubbard, Cooke B. Christopher, Jeffrey A. Schwertfeger Arbitrator(s): Alan Stamm, Richard C. Ramos, Charles Chazen Hearing Site: Los Angeles, CA
| | $0 |
02-03841 | 07/15/2008 | Claimant(s): Jae C. Kim and Soon J. Kim Claimant Lawyers(s): Jae C. Kim Respondent(s): In Dong Oh, Rowe Park, Sae Chung, Yong Kim, Daehan Securities. Respondent Lawyers(s): In Dong Oh, Jai Y. Son, Laura Park Chung, Rowe Park, Yong S. Kim Arbitrator(s): Donald G. Gloisten, Stuart M. de Haaff, Mario H. Metzger Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
06-05148 | 07/15/2008 | Claimant(s): Mary Yearsley Claimant Lawyers(s): J. L. Spray Respondent(s): Brian Schuster, Capital Growth Financial, VSR Financial Services. Respondent Lawyers(s): Brian J. Schuster, Jon M. Stanfield, Michael Jacobs Arbitrator(s): Richard M. Duxbury, John P. Wright, Roger J. Miller Hearing Site: Omaha, NE
| | $92,176 |
07-00957 | 07/15/2008 | Claimant(s): Robert Harth, Trustee for Elizabeth Ha Claimant Lawyers(s): Edward J. Dimon Respondent(s): Charles Faig, Wachovia Securities, Herbert Roemmele, Trina Mitsch Respondent Lawyers(s): Ryan P. Smith Arbitrator(s): Vernon C. Walker, Dennis C. Meyerson, E. William Pastor Hearing Site: Philadelphia, PA
| | Stipulated Award and Expungement |
07-01864 | 07/15/2008 | Claimant(s): Estate of Lewis A. Scull, Jr. Claimant Lawyers(s): Foster S. Goldman Respondent(s): Andrew Kolenda, Carl Antonucci, Rick Pierchalski, William Berkowitz, 4th Street Investments, BP Investment Partners I LP, BP Investment Partners II LP, BP Investment Partners III LP, BPU Investment Group., BPU Investment Management., BPU Investment., BPU Investments., Berkowitz, Pierchalski. Respondent Lawyers(s): Richard J. Federowicz Arbitrator(s): David J. Capriotti, Daniel J. Kortum, Francis A. King Hearing Site: Pittsburgh, PA
| | $250,000 |
07-01168 | 07/15/2008 | Claimant(s): Jerry Mote Claimant Lawyers(s): Laurel H. Siddoway Respondent(s): Joan Block, John Cox, First Allied Securities. Respondent Lawyers(s): Jeffrey K. Compton Arbitrator(s): F. Richard Middaugh, Joseph W. Cheek, James G. Harlan Hearing Site: Boise, ID
| | $0 |