| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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 |
