| 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
| | |
| 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
| | |
| 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
| | |
