| 06-05197 | 03/05/2008 | Claimant(s): Billy Willoughby, Carol Morford, Clay Faulconer, Edward Graham, Helen Phillips, James Hellard, James Phillips, Jimmie Embry, Luster Palmer, Marcia Hicks, Richard Shelton, Robert McDonnell
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Byron Holley, A.G. Edwards & Sons.
Respondent Lawyers(s): Amy C. Johnson
Arbitrator(s): Bill Swinford, John P. McShane, David T. Maddux
Hearing Site: Louisville, KY
|  | $497,071 |
| 07-02992 | 03/04/2008 | Claimant(s): Margaret Lyon
Claimant Lawyers(s): Margaret C. Lyon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Amy M. Fritsky
Arbitrator(s): Mary Ellen Burns
Hearing Site: New York, NY
| | |
| 07-02470 | 03/04/2008 | Claimant(s): FE & Janet A. White Revocable Living
Claimant Lawyers(s): Frederic Enoch White
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Linda M. McCoy
Hearing Site: San Francisco, CA
| | $25,000 |
| 06-01988 | 03/03/2008 | Claimant(s): Stuart Lantz
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Kathleen M. Anderson
Arbitrator(s): Kip C. Lubcke, R. Scott Garley, Angela Lourdes Ortiz
Hearing Site: Newark, NJ
| | |
| 06-05365 | 03/03/2008 | Claimant(s): Katherine Griffin, TTEE to Living TRST
Claimant Lawyers(s): Dan Brecher
Respondent(s): Goldman, Sachs and Company, Sofia Frankel
Respondent Lawyers(s): Brian F. McDonough, Michael J. Dell
Arbitrator(s): Bryon P. Fusini, Michael F. Halasz, Jeanne E. Libit
Hearing Site: Washington, DC
| | Expungement |
| 06-05282 | 02/29/2008 | Claimant(s): Laura Franzese, Pat Franzese
Claimant Lawyers(s): David M. White
Respondent(s): Carlin Equities
Respondent Lawyers(s): Andrew P. Weiss
Arbitrator(s): Harvey Barrison, John J. Witkowski, Neal D. Baker
Hearing Site: New York, NY
| | |
| 06-02039 | 02/29/2008 | Claimant(s): David Morrill, Dorothy Jones, Gale Peregrin, Nancy Morrill, William Tierney, Walter Bell and Caroline Bell, Miami Magnet Co. Profit Sharing Plan, The Gale Peregrin Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Legend Equities Corporation
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Joseph L. Bernstein, Marc S. Piven, Louis David Huss
Hearing Site: Boca Raton, FL
| | $142,156 |
| 06-04822 | 02/29/2008 | Claimant(s): Neal Winberg, Shelley Winberg, Winberg Family Partnership, LLP, Winberg Family Char. Remainder Trust
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Debra Silversmith, Donald Silversmith, Omnivest.
Respondent Lawyers(s): Russell K. Bean, William D. Nelson
Arbitrator(s): Jeffrey M. Bain, Richard M. Duxbury, David K. Schaal
Hearing Site: Omaha, NE
| | $307,717 |
| 07-01363 | 02/29/2008 | Claimant(s): David Dawsey
Claimant Lawyers(s): Leah O. Taylor
Respondent(s): Ann Holman, Maxine Chappell, Raymond James Financial Services., AIG SunAmerica Life Assurance Co., Chappell & Holman Financial Advisors, In
Respondent Lawyers(s): Bruce W. Barnes, Joseph L. Larrinaga
Arbitrator(s): Robert G. Brunton, Ralph S. Paden, Daniel T. Hull
Hearing Site: Birmingham, AL
| | $0 |
| 06-01760 | 02/27/2008 | Claimant(s): Esdras Vera
Claimant Lawyers(s): Marc A. Susswein
Respondent(s): Citicorp Financial Services Corp.
Respondent Lawyers(s): Gideon Mark
Arbitrator(s): Joseph L. Bernstein, Seth L. Finkel, Rex D.K. Seymour
Hearing Site: San Juan, PR
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