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
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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
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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
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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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