| 07-00542 | 05/28/2008 | Claimant(s): Andrew Haas
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael D. Schissel
Arbitrator(s): Victoria E. Johnson, Tina L. Mitchell, Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
| | |
| 07-03156 | 05/28/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Joel Small
Respondent Lawyers(s): Joel Small
Arbitrator(s): Bonnie K. Wachtel, Daniel T. McHugh, Bonnie Dale King-Rose
Hearing Site: Baltimore, MD
| | |
| 07-01882 | 05/28/2008 | Claimant(s): Robert Forsyth, William Forsyth
Claimant Lawyers(s): Charles A. McCallum
Respondent(s): Morgan Keegan & Company., Regions Financial Corporation
Respondent Lawyers(s): Shea O'Brien Hicks, Stephen A. Rowe
Arbitrator(s): Gloria J Liddell, Robert E. Graves, Samuel C. Johnson
Hearing Site: Birmingham, AL
|  | $18,459 |
| 07-01953 | 05/28/2008 | Claimant(s): Lisa Hart
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Signator Investors.
Respondent Lawyers(s): Stephanie P. Karn
Arbitrator(s): Hugh J. Moore, Stephen H. Biller, Eugene R. Katz
Hearing Site: Memphis, TN
| | $42,859 |
| 07-00258 | 05/28/2008 | Claimant(s): Brian G. Herr Rollover IRA, Sheryl L. Herr Rollover IRA
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Laif Meidell
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Cheryl R. Kershner, John J. Fitzpatrick, Alan P. Fraser
Hearing Site: Reno, NV
| | $0 |
| 07-01596 | 05/27/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Brent Lemons
Respondent Lawyers(s): Brent Lemons
Arbitrator(s): R. Dan Mitchell, Simeon R. Trotter, George F. Longino
Hearing Site: Dallas, TX
| | |
| 02-00787 | 05/27/2008 | Claimant(s): Ronald and Kara Hershey
Claimant Lawyers(s): John Thomas Dzialo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Philip Hammitt
Respondent Lawyers(s): Peter Brown Dolan
Arbitrator(s): David Zollman, Michael D. Harrison, Carl W. Vaicek
Hearing Site: Los Angeles, CA
| | $0 |
| 07-01110 | 05/27/2008 | Claimant(s): Joseph Martelli
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Nicholas Natale, Granite Associates.
Respondent Lawyers(s): Nicholas A. Natale
Arbitrator(s): Dawn M. Kirchner, Edward A. Trabin, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | $0 |
| 06-04186 | 05/23/2008 | Claimant(s): James Sarkauskas, Brokers Turn.
Claimant Lawyers(s): Jeffrey J. Scott
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Matthew J. Smith
Arbitrator(s): Robert F. O'Keef, James P. O'Donnell, Richard C. Ninneman
Hearing Site: Milwaukee, WI
| | |
| 07-02897 | 05/23/2008 | Claimant(s): Wachovia Securities, A.G. Edwards & Sons.
Claimant Lawyers(s): Katherine B. Harrison
Respondent(s): Cathy McJilton, Stifel, Nicolaus & Co.., Denise Gilseth, Kelly Stomgren, Samuel Slayden
Respondent Lawyers(s): James A. Hughes, Kenneth C. Mennemeier
Arbitrator(s): Harry B. Endsley, Ralph A. Cotton, E. Duane Stephens
Hearing Site: San Francisco, CA
| | |
