| 07-01075 | 04/22/2008 | Claimant(s): Mark Mills
Claimant Lawyers(s): John R. Fahy
Respondent(s): Charles Gallamore, Southwest Texas Capital, L.L.C
Respondent Lawyers(s): Phillip W. Offill
Arbitrator(s): George F. Longino, Russell H Hairston, Robert R. Marquardt
Hearing Site: Dallas, TX
| | |
| 08-00765 | 04/22/2008 | Claimant(s): RBC Capital Markets Corp.
Claimant Lawyers(s): Anne C. Patin
Respondent(s): Charles Howard
Respondent Lawyers(s): Michael C. Deutsch
Arbitrator(s): Edward Baer, James D. Yellen, Barry R. Lax
Hearing Site: New York, NY
| | |
| 06-03776 | 04/22/2008 | Claimant(s): Jane Bueller, Janet Duval, Marguerite Dillon, Ray Dillon, JKG Investment Company, L.P., Betty L. Dillon Trust
Claimant Lawyers(s): Robert J. O'Connor
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Christine A. Kendrick
Arbitrator(s): M. W. Gear, Thomas J. Cotrone, Irwin S. Sugerman
Hearing Site: Wichita, KS
|  | $0 |
| 07-02552 | 04/21/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Andrea Bulow
Respondent Lawyers(s): Andrea X. Xuefen
Arbitrator(s): Douglas E. DeTata, Marlyn G. McClaskey, John Edward Bersin
Hearing Site: San Francisco, CA
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| 07-02168 | 04/21/2008 | Claimant(s): Ruth Megnet
Claimant Lawyers(s): Ruth Grace Megnet
Respondent(s): Patrick Manriquez
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): George A. Sellnau
Hearing Site: Houston, TX
| | $0 |
| 06-02570 | 04/18/2008 | Claimant(s): Prudential Equity Group
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): Chad Johnson
Respondent Lawyers(s): Chad J. Johnson
Arbitrator(s): Charles E. Martin
Hearing Site: Dallas, TX
| | |
| 06-04962 | 04/18/2008 | Claimant(s): John Carl
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Lewis Sanders, AllianceBernstein Investments.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Eugene F. Farabaugh, Robina Fedora Asti, Cynthia A. DiMarco
Hearing Site: New York, NY
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| 07-00359 | 04/18/2008 | Claimant(s): Caren Bass
Claimant Lawyers(s): Caren M. Bass
Respondent(s): Citigroup.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Sandra J. Mullings, Elizabeth B. Head, Bartley F. Flaherty
Hearing Site: New York, NY
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| 07-02281 | 04/18/2008 | Claimant(s): Paul Roupinian
Claimant Lawyers(s): Paul Edward Roupinian
Respondent(s): John Orr, UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer L. Nutter
Arbitrator(s): Theodore G. Bradpiece, Jerry Ellner, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | |
| 07-00736 | 04/18/2008 | Claimant(s): Diane Moss
Claimant Lawyers(s): William J. Gladden
Respondent(s): Cheryl Jimerson, Gregory Martino, Westrock Advisors.
Respondent Lawyers(s): Cheryl Diane Jimerson, Robert Giavocias
Arbitrator(s): Charles F. Brennan, Frank J. Spencer, Stewart E. Winner
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
