06-01341 | 04/07/2008 | Claimant(s): Mark Frommer Claimant Lawyers(s): William J. Serritella Respondent(s): Lehman Brothers Inc Respondent Lawyers(s): Steven B. Varick Arbitrator(s): John K. Notz, Ronald A. Lavery, Joseph FitzSimmons Hearing Site: Chicago, IL
| | |
04-04060 | 04/07/2008 | Claimant(s): Christopher Houchin Claimant Lawyers(s): Thomas J. Anton Respondent(s): Vincent Bentivegna, Ehrenkrantz King Nussbaum. Respondent Lawyers(s): Robert M. Bursky Arbitrator(s): Milton C. Bennett, Gerald F. Corrigan, Thomas L. Flattery Hearing Site: Los Angeles, CA
| | Expungement |
07-02340 | 04/04/2008 | Claimant(s): Michael Teall Claimant Lawyers(s): Robert W. Mysliwiec Respondent(s): Fifth Third Securities. Respondent Lawyers(s): Joseph M. Callow Arbitrator(s): Marc B. Horin, Robert L. Agusto, Gordon B. Shneider Hearing Site: Chicago, IL
| | |
07-00803 | 04/04/2008 | Claimant(s): A.G. Edwards & Sons. Claimant Lawyers(s): Dennis Capriglione Respondent(s): Thomas McGowan Respondent Lawyers(s): Thomas Joseph McGowan Arbitrator(s): Kenneth E. Owen, Michael D. Harrison, Steven A. Fox Hearing Site: Los Angeles, CA
| | |
07-02790 | 04/04/2008 | Claimant(s): Francis G. Laguaite, Executor Claimant Lawyers(s): Francis G. Laguaite Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Gary P. Alexander, Robert H. Putnam, Michael J. Ahlstrom Hearing Site: Atlanta, GA
| | $0 |
07-02995 | 04/03/2008 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Catania Facher Respondent(s): Todd Smith Respondent Lawyers(s): Todd Smith Arbitrator(s): Jonathan H. Larson Hearing Site: Augusta, ME
| | |
06-04996 | 04/03/2008 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Erin E. Mac Avoy Respondent(s): Leonard Coleman Respondent Lawyers(s): Leonard Coleman Arbitrator(s): W. Michael Frazier Hearing Site: Charleston, WV
| | $0 |
07-03004 | 04/03/2008 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Brandon K. Hemley Respondent(s): Jeffrey Lin Respondent Lawyers(s): Jeffrey S. Lin Arbitrator(s): Burton M. Fendelman, David N. Brainin, Aaron Tyk Hearing Site: New York, NY
| | $65,334 |
06-02137 | 04/03/2008 | Claimant(s): Wayne D. and H. Kaye McCullough Claimant Lawyers(s): Elizabeth Zeck Respondent(s): James Barnett, Jane Smith, Jane B. Smith, CFP & Associates., Jefferson Pilot Securities Corporation Respondent Lawyers(s): Alan M. Herman, Andrew V. Tramont Arbitrator(s): Glenn A. Clinefelter, Wendy J. Reyner, Laura Puccia Valtorta Hearing Site: Columbia, SC
| | Expungement |
07-00115 | 04/03/2008 | Claimant(s): William Carpenter Claimant Lawyers(s): Matthew W. Woodruff Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Eric E. Reed Arbitrator(s): Boyd H. Scheff, Abe I. Shtulsaft, Angela Lourdes Ortiz Hearing Site: New York, NY
| | $108,370 |