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