07-02087 | 03/20/2008 | Claimant(s): Janney Montgomery Scott LLC Claimant Lawyers(s): Carrie L. Chelko Respondent(s): Jonathan Barkman Respondent Lawyers(s): Jonathan Wayne Barkman Arbitrator(s): Allen B. Lang, Robert W. Ratti, Antonio Albano Hearing Site: Philadelphia, PA
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07-02274 | 03/20/2008 | Claimant(s): James Valentine Claimant Lawyers(s): Sylvia M. Scott Respondent(s): James Lundy, Jeffrey Jones, Karen Brandenburg, Matthew Boutte, Peter Carr, Sharon Boutte, The Kenneth Lynn Boutte Family Trust Respondent Lawyers(s): D. Elizabeth Wills, James L. Lundy, Jeffrey F. Jones, Karen A. Brandenburg, Peter J. Carr Arbitrator(s): Richard J. Stall, Kirtley M. Thiesmeyer, Russell T. Doe Hearing Site: Los Angeles, CA
| | Expungement |
07-02304 | 03/20/2008 | Claimant(s): RBC Capital Markets Corporation Claimant Lawyers(s): David H.S. Commins Respondent(s): Gregory Iglow Respondent Lawyers(s): Gregory J. Sherwin Arbitrator(s): Christine A. Page, Cynthia Ann Higgins, Christopher J. Rogers Hearing Site: Los Angeles, CA
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06-04950 | 03/20/2008 | Claimant(s): Eugh Shibasaki, Junko Shibasaki, Kyoko Kusaba, Raye Shibasaki, Shibasaki Family Trust dtd 4/12/91 Claimant Lawyers(s): Jonathan W. Evans Respondent(s): Hitomi Tsuyuki Respondent Lawyers(s): Hitomi Tsuyuki Arbitrator(s): Alan Stamm, Kenneth I. Rosenblum, Thomas R. Watkins Hearing Site: Los Angeles, CA
| | $371,440 |
05-06277 | 03/20/2008 | Claimant(s): George C. & Viola W. Bartram Claimant Lawyers(s): Richard A. Lewins Respondent(s): Edward Jones Respondent Lawyers(s): Sandra B. Gallini Arbitrator(s): Synthia L. Taylor Hearing Site: Dallas, TX
| | $0 |
07-00317 | 03/20/2008 | Claimant(s): John Erickson Claimant Lawyers(s): John F. Erickson Respondent(s): Robert Tucker Respondent Lawyers(s): Robert Tucker Arbitrator(s): Anne Q. Uno, Bruce Sanders, Arthur J. Wilson Hearing Site: Washington, DC
| | $0 |
04-01248 | 03/19/2008 | Claimant(s): Piper Jaffray & Co. Claimant Lawyers(s): Elizabeth H. Lindh Respondent(s): Alan Fishman Respondent Lawyers(s): R. Craig Zafis Arbitrator(s): James J. Dobbin, Harris J. Howard, Robert Jay Filderman Hearing Site: San Diego, CA
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04-05610 | 03/19/2008 | Claimant(s): Burlington Capital Markets. Claimant Lawyers(s): Richard A. Roth Respondent(s): Paul Basile, GFI Securities Respondent Lawyers(s): Lauri F. Rasnick Arbitrator(s): Thomas Caiaffa, Selma Moy, Sharon A. McCloskey Hearing Site: New York, NY
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08-00615 | 03/19/2008 | Claimant(s): Tranqulino Ventura, Hartford Fire Insurance Co.. Claimant Lawyers(s): Richard E. Smith, Robert R. Hembree Respondent(s): Robert Decker Respondent Lawyers(s): Jason R. Ross Arbitrator(s): Joy L. Aldridge, Ronald Griffith Wilkins Hearing Site: Birmingham, AL
| | Expungement |
05-00757 | 03/19/2008 | Claimant(s): Jeffrey Kandel, The Billie Kandel Levine Trust #2 Claimant Lawyers(s): Scott L. Silver Respondent(s): Jed Kaplan, Kaplan & Co. Securities. Respondent Lawyers(s): Stephen A. Mendelsohn Arbitrator(s): Mark C. Perry, James D. McDonald, Burton Silverstein Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |