04-05795 | 02/22/2008 | Claimant(s): Vincent Bellino Claimant Lawyers(s): Vincent Bellino Respondent(s): Wachovia Securities, Frank Kim, John Compton, Patrick Kim Respondent Lawyers(s): Beverly Jo Slaughter Arbitrator(s): Cornelius C. Clancy, Bernard Herman, Irene C. Warshauer Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
06-05397 | 02/22/2008 | Claimant(s): Leona Levitan, Arleen Bernstein, etal. Claimant Lawyers(s): Scott M. Zucker Respondent(s): Daniel OShea, David Pike, Douglas Damrow, Prudential Equity Group Respondent Lawyers(s): Matthew N. Thibaut Arbitrator(s): Guy K. Stewart, Sydney I. Josepher, Harvey Alan Blicksilver Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
07-01431 | 02/22/2008 | Claimant(s): Jean Locascio and Sandy White Claimant Lawyers(s): Seth E. Lipner Respondent(s): Raymond Burghard, Trident Partners, Ltd. Respondent Lawyers(s): John E. Lawlor, Raymond Burghard Arbitrator(s): Michael J. McAllister, Charles S. Guggenheimer, Howard L. Greenberger Hearing Site: New York, NY
| | $120,000 |
05-04113 | 02/22/2008 | Claimant(s): Steven and R. Alex Smith Claimant Lawyers(s): Lee B. Rowell Respondent(s): Putnam Retail Management, LLP Respondent Lawyers(s): Andrew J. Hachey Arbitrator(s): Eric Spencer Buchanan Hearing Site: Jackson, MS
| | $0 |
07-00213 | 02/21/2008 | Claimant(s): John Babalis Claimant Lawyers(s): Timothy A. Canning Respondent(s): Kevin Graham, Raymond James Financial Services., Thomas Harrington Respondent Lawyers(s): Leslie R. Murtagh Arbitrator(s): Kenneth Kleeman, Henry G. Plaster, Wesley C. Wilson Hearing Site: Charleston, WV
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05-02411 | 02/20/2008 | Claimant(s): Thomas Fitzgerald Claimant Lawyers(s): J. Steven Parker Respondent(s): Ameriprise Advisor Services., H & R Block. Respondent Lawyers(s): Robert M. Vercruysse Arbitrator(s): Dana R. Dawe, Martin I. Reisig, Mayra Adela Rodriguez Hearing Site: Detroit, MI
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07-00352 | 02/20/2008 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Jill B. Clarke Respondent(s): Crystal Steele Respondent Lawyers(s): Crystal Steele Arbitrator(s): Walton L. Huff, Leslie Bernard Jallans, Stacey L. Barnes Hearing Site: Houston, TX
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06-05130 | 02/20/2008 | Claimant(s): Clinton and Julie Howe Claimant Lawyers(s): F. Albert Ibrahim Respondent(s): Gregory Geis, Allstate Life Insurance Company, BancWest Investment Services., Bank of the West Respondent Lawyers(s): Barry D. Hovis, Sonia R. Martin Arbitrator(s): John Patrick Kelly, Nick G. Tarlson, Mark Aaron Jones Hearing Site: San Francisco, CA
| | $3,750 |
05-05660 | 02/19/2008 | Claimant(s): AIG Financial Advisors. Claimant Lawyers(s): Abby Henig Respondent(s): Allen Darby Respondent Lawyers(s): John F. Hanzel Arbitrator(s): David P. McDuffee, John D. Robb, Michael C. Wittenberg, CPF, CLU, ChFC Hearing Site: Charlotte, NC
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06-04146 | 02/19/2008 | Claimant(s): Victor Silano Claimant Lawyers(s): Laurent S. Drogin Respondent(s): RBC Capital Markets Corporation Respondent Lawyers(s): David J. Butler Arbitrator(s): Thomas E. Duggan, David R. Bolnick, Michael L. Moran Hearing Site: New York, NY
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