07-00074 | 07/03/2008 | Claimant(s): Daryl Scheaffer, Jane Specketer, John Hartman, Leslie Davis, Linda Scheaffer, Paul Prymak, Ritchie Smith, Tedd Sabus, Anthony J. and Patricia A. Pisani, Christopher D. and Sandra M. Olson, Darrel W. and Vera J. Longley, Daryl and Linda Scheaffer, John and Lillian Prymak, Preston and Sheila Smith, Richard Brice & Paula Higgens-Brice, Robert and Brenda Daley, Robert and Evelyn Toro, Robert and Velva Weston, William E. and Toni A. Brock, Rev. Living Trust of Sammy J. Martinez Claimant Lawyers(s): William R. Fishman Respondent(s): Mutual Service Corporation, Contemporary Financial Solutions Respondent Lawyers(s): Craig Bockman Arbitrator(s): Susan M. Thevenet, Deanna M. Tuley, Patti Fellows Peters Hearing Site: Denver, CO
| | $919,740 |
07-01432 | 07/03/2008 | Claimant(s): David Gregory Claimant Lawyers(s): David Gregory Respondent(s): Chase Investment Services Corp. Respondent Lawyers(s): Tracey C. Gilliam Arbitrator(s): Charles L. Prothero, David L. Becker, Richard H. Hoenig Hearing Site: Newark, NJ
| | $0 |
05-00529 | 07/02/2008 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Sandra Grannum Respondent(s): Christopher Becker Respondent Lawyers(s): Christopher W. Becker Arbitrator(s): Theodore Moreines, Nathan J. Minucci, Robert J. Gorgia Hearing Site: Newark, NJ
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06-04968 | 07/02/2008 | Claimant(s): Wachovia Securities Claimant Lawyers(s): David H. Smith Respondent(s): Sergio Negrini Respondent Lawyers(s): David R. Chase Arbitrator(s): Syma S. Kasdin, Richard J. Kaplan, Norman E. Heyman Hearing Site: Boca Raton, FL
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07-03439 | 07/02/2008 | Claimant(s): James Kelly Claimant Lawyers(s): Partha P. Chattoraj Respondent(s): UBS Securities LLC Respondent Lawyers(s): Lloyd B. Chinn Arbitrator(s): Dennis C. Cronin, David S. Billet, Madelon M. Rosenfeld Hearing Site: New York, NY
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05-06360 | 07/02/2008 | Claimant(s): Ismael Aviles-Torres & Daisy Pastrana Claimant Lawyers(s): Russell L. Forkey Respondent(s): Ernesto Casco, Frank Bell, Jose Mirabal, New World Financial. Respondent Lawyers(s): Ernesto J. Casco, F. Richard Bell, Gary S. Artzt, Jose Mirabal Arbitrator(s): Joseph L. Bernstein, James A. Smith, Sanford M. Naiditch Hearing Site: Boca Raton, FL
| | $377,955 |
07-02670 | 07/02/2008 | Claimant(s): Dionna Barker, IRA FBO Dionna Barker, Dionna L. Barker U/A Trust DTD 10/8/1998 Claimant Lawyers(s): Robert N. Sheets Respondent(s): Paige Harris, Bosc. Respondent Lawyers(s): Paul DeMuro Arbitrator(s): Leslie L. Conner, Margaret C. Kerr, Jonathan Barry Forman Hearing Site: Oklahoma City, OK
| | Stipulated Award and Expungement |
06-04502 | 07/01/2008 | Claimant(s): Janet MacLean Claimant Lawyers(s): Paul M. Glickman Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Matthew C. Applebaum Arbitrator(s): Mary C. Kelleher Hearing Site: Boston, MA
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07-02319 | 07/01/2008 | Claimant(s): Eric Hansen Claimant Lawyers(s): Nicole A. Rizzo Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Julie Fleming-Wolfe Arbitrator(s): Lucy J. Karl, Peter L. Curry, Jeffrey P. Petrucelly Hearing Site: Boston, MA
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07-01138 | 07/01/2008 | Claimant(s): Helen-Carolyn Ackerly Claimant Lawyers(s): W. Alexander Melbardis Respondent(s): Gilford Securities Incorporated Respondent Lawyers(s): Michael Kalmus Arbitrator(s): Joseph B. Russell, Kenneth L. Stewart, Joseph R. Brancaleone Hearing Site: New York, NY
| | $58,000 |