| 07-01583 | 03/26/2008 | Claimant(s): Harold F. Davis, IRA, Davis Family Trust
Claimant Lawyers(s): Harold F. Davis
Respondent(s): Hayes Burleson, A.G. Edwards & Sons.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Lynne T. Albert, Landrum H. Henderson, James F. Major
Hearing Site: Charlotte, NC
|  | $87,600 |
| 06-02054 | 03/25/2008 | Claimant(s): Amy Feng
Claimant Lawyers(s): Thomas E. Duckworth
Respondent(s): JMP Securities LLC
Respondent Lawyers(s): David P. Borovsky & Howard Garfield
Arbitrator(s): William W. Haskell, Gail Killefer, Steven K. McGinnis
Hearing Site: San Francisco, CA
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| 06-04423 | 03/25/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Simmers
Respondent Lawyers(s): David A. Sebastian
Arbitrator(s): Peter B. Kupelian, Gary C. Peters, Ann D. Kuhna
Hearing Site: Detroit, MI
| | |
| 06-04852 | 03/25/2008 | Claimant(s): Capitola Sommer
Claimant Lawyers(s): Richard J. Papst
Respondent(s): Edward Jones
Respondent Lawyers(s): Joseph B. Adams
Arbitrator(s): Howard A. Emirhanian, Mark S. Priver, Jerry Ellner
Hearing Site: Los Angeles, CA
| | |
| 07-02723 | 03/25/2008 | Claimant(s): Maria Monteagudo
Claimant Lawyers(s): Maria Delia Monteagudo
Respondent(s): Craig Gould, Wunderlich Securities
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Mitchell B. Goldberg
Hearing Site: Cleveland, OH
| | $9,000 |
| 07-02329 | 03/25/2008 | Claimant(s): Dave Schutz
Claimant Lawyers(s): Steven M. Green
Respondent(s): Mark Gundy, A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Janice L. Sperow
Hearing Site: San Diego, CA
| | $425 |
| 05-04554 | 03/24/2008 | Claimant(s): David McCoy, GunnAllen Holdings.
Claimant Lawyers(s): Richard A. Roth, William J. Schifino
Respondent(s): Bradley Fay, Donald Gunn, Richard Frueh, Richard Nummi, Gunnallen Financial., McCoy Rep Services.
Respondent Lawyers(s): Richard A. Roth, Robert W. Boos, William J. Schifino
Arbitrator(s): John Steve Azadian, William E. Nodine, Kenneth R. Starr
Hearing Site: Tampa, FL
| | |
| 07-01620 | 03/24/2008 | Claimant(s): Almax Investments LLC
Claimant Lawyers(s): Stephen P. Bedell
Respondent(s): Michael Moore, Sarah Moore, EROOM Securities LLC
Respondent Lawyers(s): Jennifer Zordani
Arbitrator(s): G. Gale Roberson, Mark E. Larson, James Michael Bailey
Hearing Site: Chicago, IL
| | |
| 07-01269 | 03/20/2008 | Claimant(s): Daniel Morris
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Jeff Margolis, Aurora Capital LLC
Respondent Lawyers(s): G. Robert Abrams, Jeff Eliot Margolis
Arbitrator(s): Richard L. Herzfeld, Evdokia Sofos, Jonathan P. Russell
Hearing Site: New York, NY
| | |
| 07-01726 | 03/20/2008 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Charles Monahan
Respondent Lawyers(s): Charles M. Monahan
Arbitrator(s): Linda Fairchild, Paul Lilling, Christopher Mark Aiello
Hearing Site: Orlando, FL
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