06-04508 | 03/10/2008 | Claimant(s): David McLaren, Jean-Rene Menand, Pierre Willard, DML Sierra Vista Investments LLC, Gailen Partners, JRM San Antonio Investments LLC, JRM San Antonio Investors., JRM San Antonio Partners, PW Gailen Alto Investors., PW Gailen Investments, RJP Investment Partners, RJP Los Altos Investments LLC, Sierra Vista Partners, Ramesh and Jaya Padmanabhan Claimant Lawyers(s): W. Ralph Canada Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc., Rita Rothstein, Morgan Stanley Capital Group Respondent Lawyers(s): Eric G. Wallis Arbitrator(s): Frank R Weaver, Homer M. Dalbey, Hadden Wing Roth Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
07-01594 | 03/10/2008 | Claimant(s): William Ralston Claimant Lawyers(s): William R. Ralston Respondent(s): Andra Dillard, Delta Trust Investments. Respondent Lawyers(s): Nate Coulter Arbitrator(s): Chet Roberts, Rudy A. Martin, Jay R. Robinson Hearing Site: Little Rock, AR
| | $0 |
07-00724 | 03/07/2008 | Claimant(s): Michael Bodino, Paul Westervelt, Coker, Palmer, Phillips & Mullen. Claimant Lawyers(s): E. Barney Robinson Respondent(s): Sterne, Agee & Leach. Respondent Lawyers(s): Patricia C. Diak Arbitrator(s): Frederick S. Duncan, David T. Maddux, Kenneth I. Daniels Hearing Site: Jackson, MS
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07-02787 | 03/07/2008 | Claimant(s): Lawrence Frankel Claimant Lawyers(s): Eva H Posman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Amy M. Fritsky Arbitrator(s): Cynthia A. DiMarco Hearing Site: New York, NY
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06-02977 | 03/07/2008 | Claimant(s): Rayna Brown Claimant Lawyers(s): Montgomery G. Griffin Respondent(s): J.P. Morgan Securities., John Anderson, PFG Distribution Company Respondent Lawyers(s): Robert J. Stumpf, Jr. Arbitrator(s): Isidoro Berkman, William Michael Samsel, Richard Conlon Lehrmann Hearing Site: San Francisco, CA
| | $99,963 |
06-04978 | 03/07/2008 | Claimant(s): Emily Firebaugh Claimant Lawyers(s): Jerome F. Raskas Respondent(s): CIBC World Markets Corp., A.G. Edwards & Sons. Respondent Lawyers(s): Elizabeth Aylett, Nancy A. Tayborn Arbitrator(s): Albert J. Haller, Terra Case Sander, David F. Barrett Hearing Site: St. Louis, MO
| | $110,000 |
06-04597 | 03/06/2008 | Claimant(s): SunTrust Banks., SunTrust Capital Markets., SunTrust Investment Services. Claimant Lawyers(s): David L. Balser Respondent(s): Joshua Mazer Respondent Lawyers(s): Foster S.B. Friedman Arbitrator(s): Bonnie K. Wachtel, Albert D. Sturtevant Hearing Site: Washington, DC
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06-05202 | 03/06/2008 | Claimant(s): David Hubert Claimant Lawyers(s): Fred Rucker Respondent(s): Donald Kellen, J.P. Morgan Securities Respondent Lawyers(s): Bentley P. Stansbury Arbitrator(s): Edwin C. Shiver, Ivan Claman, Elizabeth Anne Moreno Hearing Site: Los Angeles, CA
| | $0 |
07-00944 | 03/06/2008 | Claimant(s): Estate of Donald K. Stuart Claimant Lawyers(s): Mark Carta Respondent(s): Michelle Stuart, Lehman Brothers Inc Respondent Lawyers(s): Robert P. Dolian, Victor A. Machcinski Arbitrator(s): Hugh N. Fryer, Margaret M McQueeney, Joshua Mark Zucker Hearing Site: New York, NY
| | $0 |
07-00269 | 03/05/2008 | Claimant(s): Cambridge Equity Advisors., Cambridge Way. Claimant Lawyers(s): Stanley M. Chernau Respondent(s): Aaron Vallett, Maggie Nuzum, Michael Goldston Respondent Lawyers(s): David Zager, Stanley M. Chernau Arbitrator(s): Brendan E. Finucane, Ronald M. Gordon, Neil Harvey Smith Hearing Site: Nashville, TN
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