07-01782 | 07/10/2008 | Claimant(s): Harold Burdette Claimant Lawyers(s): Rodney J. Heggy Respondent(s): Invest Financial Corporation, BancWest Investment Services., Putnam Retail Management Limited Part Respondent Lawyers(s): Andrew J. Hachey, Ross A. Anderson Arbitrator(s): Theron L. Vanlandingham, Cleve W. Powell, David A. Laughlin Hearing Site: Oklahoma City, OK
| | $0 |
06-01645 | 07/09/2008 | Claimant(s): Gail Wasserman, Wexler Meat Co. Profit Sharing Trust Claimant Lawyers(s): Elliot M. Samuels Respondent(s): Barry Rosenberg, Mesirow Financial. Respondent Lawyers(s): Ronald P. Kane Arbitrator(s): Jeffrey W. Finke, Robert B. Schmidt, Nicolaus Bruns Hearing Site: Chicago, IL
| | $0 |
07-02600 | 07/09/2008 | Claimant(s): Julie Maleitzke, Estate of Gary L. Maleitzke, Deceased Claimant Lawyers(s): William K. Murphy Respondent(s): Brent Kerstetter, Raymond James Financial Services., Michelle Dean Respondent Lawyers(s): John I. Bain, Kelli Bullington Arbitrator(s): Patrick R. Sughroue, Benjamin A. Kerner, Thomas L. Imbrunone Hearing Site: Detroit, MI
| | $0 |
07-03185 | 07/08/2008 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Justin Joseph D'Elia Respondent(s): David Feldman Respondent Lawyers(s): David Feldman Arbitrator(s): Bernard A. Friedman Hearing Site: New York, NY
| | $0 |
05-03691 | 07/08/2008 | Claimant(s): N. Honer Claimant Lawyers(s): Walter L. Baumgardner Respondent(s): David Hester, Robert W. Baird & Co. Incorporated, Victor Whang Respondent Lawyers(s): Gary M. Saretsky Arbitrator(s): John R. Main, Timothy J. Currier, Lee Hornberger Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
06-04152 | 07/08/2008 | Claimant(s): William Dinges, Jr., and Agnes Dinges Claimant Lawyers(s): Marc S. Gottlieb Respondent(s): McLaughlin, Piven, Vogel Securities, Lawrence Tulenko Respondent Lawyers(s): Mark G. Vaughan Arbitrator(s): Robert S. Getman, Wayne R. Jahns, Norman Kass Hearing Site: Newark, NJ
| | Expungement |
08-00025 | 07/08/2008 | Claimant(s): Vince Sullivan and Monica Sullivan Claimant Lawyers(s): Vince Sullivan Respondent(s): E* Trade Securities LLC Respondent Lawyers(s): John E. Bersin Arbitrator(s): William E. Smith Hearing Site: Newark, NJ
| | $163 |
06-03489 | 07/03/2008 | Claimant(s): Jon Nee Claimant Lawyers(s): William K. Diehl Respondent(s): Banc of America Investment Services Inc., Bank of America, N.A. Respondent Lawyers(s): George C. Covington Arbitrator(s): Don M. Bieger, James Whitaker Ballou, Celeste A. Beron Hearing Site: Charlotte, NC
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06-04830 | 07/03/2008 | Claimant(s): Jose Padilla Claimant Lawyers(s): Martin M. Berliner Respondent(s): Michael Jones, Patrick Sutherland, Ronald Bloomingkemper, Ronald Petranovich, USA Holdings., United Securities Alliance. Respondent Lawyers(s): Julie M. Walker, Matthew T. Covington Arbitrator(s): Robert D. Greenlee, Gerhard L. Schopen, Craig Stanley Ralston Hearing Site: Denver, CO
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07-02216 | 07/03/2008 | Claimant(s): Howe Barnes Hoefer & Arnett. Claimant Lawyers(s): David T.B. Audley Respondent(s): Ronald Smith Respondent Lawyers(s): Paul J. Sussman Arbitrator(s): Ronald A. Lavery Hearing Site: Chicago, IL
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