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