06-02570 | 04/18/2008 | Claimant(s): Prudential Equity Group Claimant Lawyers(s): Erin A. Rowin Respondent(s): Chad Johnson Respondent Lawyers(s): Chad J. Johnson Arbitrator(s): Charles E. Martin Hearing Site: Dallas, TX
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06-04962 | 04/18/2008 | Claimant(s): John Carl Claimant Lawyers(s): Jason A. Archinaco Respondent(s): Lewis Sanders, AllianceBernstein Investments. Respondent Lawyers(s): Joseph Baumgarten Arbitrator(s): Eugene F. Farabaugh, Robina Fedora Asti, Cynthia A. DiMarco Hearing Site: New York, NY
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07-00359 | 04/18/2008 | Claimant(s): Caren Bass Claimant Lawyers(s): Caren M. Bass Respondent(s): Citigroup. Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Sandra J. Mullings, Elizabeth B. Head, Bartley F. Flaherty Hearing Site: New York, NY
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07-02281 | 04/18/2008 | Claimant(s): Paul Roupinian Claimant Lawyers(s): Paul Edward Roupinian Respondent(s): John Orr, UBS Financial Services Inc. Respondent Lawyers(s): Jennifer L. Nutter Arbitrator(s): Theodore G. Bradpiece, Jerry Ellner, Steven J. Feldman Hearing Site: Los Angeles, CA
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07-00736 | 04/18/2008 | Claimant(s): Diane Moss Claimant Lawyers(s): William J. Gladden Respondent(s): Cheryl Jimerson, Gregory Martino, Westrock Advisors. Respondent Lawyers(s): Cheryl Diane Jimerson, Robert Giavocias Arbitrator(s): Charles F. Brennan, Frank J. Spencer, Stewart E. Winner Hearing Site: New York, NY
| | Stipulated Award and Expungement |
07-01303 | 04/18/2008 | Claimant(s): Gerlind Schmoll, Ronald Schmoll Claimant Lawyers(s): Ronald W. Karolyi Respondent(s): Kenneth Pujdak Respondent Lawyers(s): Kenneth Pujdak Arbitrator(s): Lynne T. Albert, Leslie R. Berro, Laura A. Ledford Hearing Site: Charlotte, NC
| | $181,888 |
07-01705 | 04/18/2008 | Claimant(s): Larry Scallons and Bess Scallons Claimant Lawyers(s): John M. Gillis Respondent(s): Stacie Clark, The GMS Group Respondent Lawyers(s): Jennifer Woods Burke Arbitrator(s): Charles A. Joplin Hearing Site: Dallas, TX
| | $0 |
07-02163 | 04/17/2008 | Claimant(s): Raymond Stockus Claimant Lawyers(s): Raymond James Stockus Respondent(s): National Financial Services LLC, Brookstreet Securities Corporation Respondent Lawyers(s): Donald S. Davidson, H Thomas Fehn Arbitrator(s): Joseph C. Watson Hearing Site: Los Angeles, CA
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07-03237 | 04/17/2008 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Justin Joseph D'Elia Respondent(s): Thomas Huss Respondent Lawyers(s): Thomas Huss Arbitrator(s): Mitchell B. Goldberg Hearing Site: Cleveland, OH
| | $0 |
07-00471 | 04/17/2008 | Claimant(s): Tammy Mays and Cindy Mays Claimant Lawyers(s): Bryan T. Forman Respondent(s): Brent Lemons Respondent Lawyers(s): Brent Lemons Arbitrator(s): Phillip Lee Scheldt, Henry Hermann, Joseph G. Werner Hearing Site: Dallas, TX
| | $1,318,000 |