| 07-01931 | 05/30/2008 | Claimant(s): Lynn O. Hilliard
Claimant Lawyers(s): Ryan Shaw
Respondent(s): Wachovia Securities, Stuart May
Respondent Lawyers(s): Ryan P. Smith
Arbitrator(s): Carol M. Stoner
Hearing Site: Charleston, WV
|  | $0 |
| 07-00951 | 05/29/2008 | Claimant(s): Douglas Habryl
Claimant Lawyers(s): Jeffrey R. Singer
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): James G. Cooper, Martha Failing, James P. Hoefling
Hearing Site: Houston, TX
| | |
| 07-03339 | 05/29/2008 | Claimant(s): Vision Securities Inc.
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Lewis Franklin
Respondent Lawyers(s): Lewis Joseph Franklin
Arbitrator(s): David T. Maddux
Hearing Site: Nashville, TN
| | |
| 07-03197 | 05/29/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'elia
Respondent(s): Alan Haber
Respondent Lawyers(s): Alan Haber
Arbitrator(s): William E. Smith
Hearing Site: Newark, NJ
| | $0 |
| 07-02385 | 05/29/2008 | Claimant(s): Herbert Lim, Nony Luikito-Kim, Herbert K. Lim & Nony L. Lukito-Kim Jt T, Lukito-Lim Family Trust
Claimant Lawyers(s): Herbert K. Lim
Respondent(s): Scottrade.
Respondent Lawyers(s): Ryan M. Blum
Arbitrator(s): Robin Lynn Berry
Hearing Site: San Francisco, CA
| | $10,263 |
| 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 |
