07-02336 | 06/13/2008 | Claimant(s): Mount Yale Securities, Yale Portfolio Advisors Claimant Lawyers(s): Sven C. Collins Respondent(s): Glenda Pemble Respondent Lawyers(s): William Nelson Arbitrator(s): Jonathan H. Larson, Michael A. Ruderman, Richard Djokic Hearing Site: Denver, CO
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07-03183 | 06/13/2008 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Justin Joseph D'Elia Respondent(s): David George Respondent Lawyers(s): David George Arbitrator(s): Richard D. Brady Hearing Site: Seattle, WA
| | $0 |
08-00083 | 06/13/2008 | Claimant(s): Penson Financial Services. Claimant Lawyers(s): Edward W. Larkin Respondent(s): Arbco Capital Management, LLP Respondent Lawyers(s): Hayim Regensberg Arbitrator(s): Richard W. Cutler, Irene C. Warshauer, Joan Seewald Brodsky Hearing Site: New York, NY
| | $1,322,100 |
06-01809 | 06/12/2008 | Claimant(s): Morgan Stanley DW Inc. Claimant Lawyers(s): Donald B. Wallace Respondent(s): Todd Smith Respondent Lawyers(s): Frank Lewis Arbitrator(s): Mica T. Duncan, Eugene W. Bronski, Ronald L. Peters Hearing Site: Phoenix, AZ
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06-05309 | 06/12/2008 | Claimant(s): Roxanne Brooker Claimant Lawyers(s): James G Brooker Respondent(s): Anne Saeva, Chase Investment Services Corp., Paula Fritz Respondent Lawyers(s): Carolyn G. Nussbaum Arbitrator(s): Ralph L. Halpern, Karin A. Schlosser, Frederick N.C. Jerauld Hearing Site: Buffalo, NY
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07-01087 | 06/12/2008 | Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Ronald P. Kane Respondent(s): John Hernandez Respondent Lawyers(s): Daniel L. Hitzke Arbitrator(s): Basil Lewis, Walter R. Whitman, Carol Jeanne Medof Hearing Site: Los Angeles, CA
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07-02050 | 06/12/2008 | Claimant(s): Roxanne Brooker Claimant Lawyers(s): James G. Brooker Respondent(s): Anne Saeva, Chase Investment Services Corp., Paula Fritz, Banc One Capital Holdings c/o J.P.M, J.P.Morgan Chase & Co., J.P.Morgan Chase Bank NA Respondent Lawyers(s): Carolyn G Nussbaum, Carolyn G. Nussbaum Arbitrator(s): Hearing Site: Buffalo, NY
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02-04882 | 06/12/2008 | Claimant(s): Dale Wise Claimant Lawyers(s): Paul J. Sussman Respondent(s): Bernard Ringer, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Eric J. Cassidy Arbitrator(s): Michael S. Matek, Richard E. Ascher, David John Diersen Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
06-02116 | 06/12/2008 | Claimant(s): Hatch Insurance Agency. Claimant Lawyers(s): C. Mark Stratton Respondent(s): Kirlin Securities. Respondent Lawyers(s): Isaac M. Zucker Arbitrator(s): Terrence J. Fleming, Robert Lee Nelson, Grant D. Sanders Hearing Site: Minneapolis, MN
| | $30,000 |
07-00340 | 06/12/2008 | Claimant(s): Purita MacKey, Purita Mackey Trust Claimant Lawyers(s): Richard B. Fosher Respondent(s): Jonathan Zulauf, Edward Jones Respondent Lawyers(s): Peter B. Shaeffer, Robert P. Bramnik Arbitrator(s): Alan E. Case, Gordon B. Shneider, Joseph D. Savino Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |