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