06-01622 | 03/17/2008 | Claimant(s): William Jordan Claimant Lawyers(s): Mary Kay Brown Respondent(s): Gregory Serras, Vanguard Capital Respondent Lawyers(s): Jeffrey S. Kob Arbitrator(s): Edward T. Borer, Robert I. Rabinowitz, Antonio Albano Hearing Site: Philadelphia, PA
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07-02405 | 03/17/2008 | Claimant(s): Leonard W. Krouner Claimant Lawyers(s): Leonard W. Krouner Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John Bersin Arbitrator(s): Lester G. Stiel Hearing Site: San Diego, CA
| | $2,475 |
07-01148 | 03/17/2008 | Claimant(s): Mary Schilling Claimant Lawyers(s): Richard B. Fosher Respondent(s): Morgan Stanley DW Inc. Respondent Lawyers(s): Thomas P. Briody Arbitrator(s): Jerome J. Brault, John W. Jerak, Steven H. Vogel Hearing Site: Chicago, IL
| | $0 |
06-00575 | 03/14/2008 | Claimant(s): James O'Leary Claimant Lawyers(s): Dan A. Druz Respondent(s): Citigroup Global Markets., Ron Sallet Respondent Lawyers(s): Kevin B. Walker Arbitrator(s): Jack Friedman, Louis H. Miron, James M. Baumann Hearing Site: Newark, NJ
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07-02115 | 03/14/2008 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Christopher J. Carney Respondent(s): William Hamilton Respondent Lawyers(s): William Joseph Hamilton Arbitrator(s): Monette E. Draper, Gary R. Miles, Barbara E. Dixon Hearing Site: Cincinnati, OH
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06-03305 | 03/14/2008 | Claimant(s): Barbara Drucker, William Drucker, William R. Drucker IRA Claimant Lawyers(s): Joshua N. Cook Respondent(s): Charlene Marant, Elizabeth Ferreira, EM Financial Solutions, Marant Enterprises Holdings LLC, Pershing Advisor Solutions Respondent Lawyers(s): Charlene Marant, Christina Davilas, Compliance Officer, Elizabeth Ferreira Arbitrator(s): Robert Titus, William I. Carmen, Stephen Z. Frank Hearing Site: Boston, MA
| | Settlement |
07-01982 | 03/14/2008 | Claimant(s): Marilyn J. Adams, IRA Claimant Lawyers(s): Marilyn J. Adams Respondent(s): Christian Clinton, A.G. Edwards & Sons. Respondent Lawyers(s): Brent J. Burtin Arbitrator(s): Laz L. Schneider Hearing Site: Boca Raton, FL
| | $10,213 |
07-00190 | 03/13/2008 | Claimant(s): Sagepoint Financial. Claimant Lawyers(s): William Zeena Respondent(s): Humbert Michini, Paul Gaydos Respondent Lawyers(s): Humbert Michini, Paul Gaydos Arbitrator(s): Robert S. Natiss, Daniel H. Yaffe, Kathy N. Novick Hearing Site: Boca Raton, FL
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07-01744 | 03/13/2008 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings Claimant Lawyers(s): W. Jerad Rissler Respondent(s): Rick Jensen Respondent Lawyers(s): William M. Van Camp Arbitrator(s): Steven A. Hurst, Barry Rabinowitz, Michael S. Kozlow Hearing Site: Boca Raton, FL
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07-01242 | 03/13/2008 | Claimant(s): Sheree Swanncak Claimant Lawyers(s): Vincent J. Imbesi Respondent(s): TFS Securities. Respondent Lawyers(s): Russell S. Burnside Arbitrator(s): Cynthia H. Plishtin Hearing Site: New York, NY
| | $0 |