07-00262 | 06/17/2008 | Claimant(s): Frederick A. and Suzanne E. Lovejoy Claimant Lawyers(s): Frederick A. Lovejoy Respondent(s): E*Trade Securities LLC, Stephen Tachiera Respondent Lawyers(s): John Bersin Arbitrator(s): Catherine Ladnier, David Ellis, Sean Alan D'Amico Hearing Site: Hartford, CT
| | $0 |
07-03382 | 06/16/2008 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Jill B. Clarke Respondent(s): Angela Jordison Respondent Lawyers(s): Angela Jordison Arbitrator(s): William B. Kirby Hearing Site: Portland, OR
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06-01451 | 06/16/2008 | Claimant(s): Joseph Moceri, IRA, Judith Moceri, 401(K) and Profit Sharing Plan, Joseph Moceri Trust Claimant Lawyers(s): Dean J. Groulx Respondent(s): Kenneth BrandtL fka Linsco/Private Ledger Corp., Brandt, Kelly & Simmons Securities Respondent Lawyers(s): Samuel P. Mauch Arbitrator(s): Marvin I. Horowitz, Barry Goldman, Anthony J. Bove Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
07-00384 | 06/16/2008 | Claimant(s): David Clappisi, Melanie Clappisi Claimant Lawyers(s): Patrick D. Vellone Respondent(s): Derek Kent, Sagepoint Financial., AIG SunAmerica Inc. Respondent Lawyers(s): John P. Glenn, William D. Nelson Arbitrator(s): Malcolm T. Cleland, Steven Meyrich, Martha M. Walker Hearing Site: Denver, CO
| | $511,228 |
07-03539 | 06/16/2008 | Claimant(s): Bruce M. McCoy and Patti A. McCoy Claimant Lawyers(s): Bruce M. McCoy Respondent(s): Ryan Burch Respondent Lawyers(s): Ryan Burch Arbitrator(s): Carl B. Noelke Hearing Site: San Francisco, CA
| | $6,429 |
06-05045 | 06/16/2008 | Claimant(s): Mary Lenzi, Timothy Lenzi Claimant Lawyers(s): Shelley Stasson Respondent(s): Christopher Dowd, Merrill Lynch, Merrill Lynch Life Agency. Respondent Lawyers(s): Jeffrey T. Rogg Arbitrator(s): Stewart C.W. Weiner, V. George Laktzian, Paul Sislin Hearing Site: Detroit, MI
| | $0 |
07-02808 | 06/16/2008 | Claimant(s): Clarence Smith Claimant Lawyers(s): Clarence Smith Respondent(s): Anthony Williams, Edward Jones Respondent Lawyers(s): Christopher Pickett Arbitrator(s): Oren L. Connaway Hearing Site: Houston, TX
| | $163 |
07-02933 | 06/16/2008 | Claimant(s): Stuart Shainheit Claimant Lawyers(s): Paul A. Douglas Respondent(s): Herbert Mahler, Brean Murray, Carret & Co, Mahler & Emerson Inc. Respondent Lawyers(s): Marc S. Gottlieb Arbitrator(s): Kenneth J. Horowitz Hearing Site: Newark, NJ
| | $0 |
05-04218 | 06/13/2008 | Claimant(s): Citicorp Financial Services. Claimant Lawyers(s): Gideon Mark Respondent(s): Ignacio Altuve, Rodrigo Vila Respondent Lawyers(s): Jason Coupal Arbitrator(s): Gary W. Pollack, Heather D. Fitzenhagen, Charles Hoffman Hearing Site: San Juan, PR
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07-01872 | 06/13/2008 | Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Gary Compton Respondent Lawyers(s): Gary R. Compton Arbitrator(s): John J. Muldowney, Sidney L. Sussman, Glenn H. Catalano Hearing Site: Norfolk, VA
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