| 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 |
