| 07-03191 | 04/16/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Tony Cheng
Respondent Lawyers(s): Tony Cheng
Arbitrator(s): Paul D. Gutierrez
Hearing Site: San Francisco, CA
|  | $0 |
| 07-01361 | 04/15/2008 | Claimant(s): Sheila Segrest, Sheila Segrest as next friend of Anna Br
Claimant Lawyers(s): Leah O. Taylor
Respondent(s): Ann Holman, Maxine Chappell, Raymond James Financial Services., Raymond, James & Associates., AIG SunAmerica Life Assurance Co., Chappell & Holman Financial Advisors, In
Respondent Lawyers(s): Bruce W. Barnes, Joseph L. Larrinaga
Arbitrator(s): Lita S Menkin, Todd Edward Phillips, Daniel T. Hull
Hearing Site: Birmingham, AL
| | $36,917 |
| 07-00688 | 04/15/2008 | Claimant(s): Carl Spradlin, Joy Spradlin, Carl Spradlin RO IRA, Joy Spradlin RO IRA, Spradlin Living Trust DTD 4/2/01
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Associated Securities Corp.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Douglas E. DeTata, Dean J. Dietrich, James Philip Barber
Hearing Site: Reno, NV
| | $0 |
| 07-00925 | 04/15/2008 | Claimant(s): Jodi Whitehead
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Arthur Lewis, CIBC World Markets Corp., Jeff Bank, Susan Sutherland
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): Mark T. Burnam, Stanley Seidman, Alfred L. Simon
Hearing Site: Boca Raton, FL
| | $0 |
| 07-02834 | 04/15/2008 | Claimant(s): Robert R. and Delores J. Gehrking
Claimant Lawyers(s): Robert R. Gehrking
Respondent(s): Piper Jaffray & Co., William Pritchard
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): P. J. Boylan
Hearing Site: Milwaukee, WI
| | $213 |
| 07-02957 | 04/14/2008 | Claimant(s): John Phillips
Claimant Lawyers(s): John S. Lutz
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Jennifer L. Petruccelli
Arbitrator(s): Richard M. Reider, Stephen Kirk Ingebretsen, David L. Erickson
Hearing Site: Denver, CO
| | |
| 07-01928 | 04/14/2008 | Claimant(s): Edward A. Sandor, IRA, Rita D. Sandor
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela Turiano
Arbitrator(s): Diane Getzler, Terrence H. Fraser, Sheri J. Caplan
Hearing Site: Hartford, CT
| | $0 |
| 06-02728 | 04/11/2008 | Claimant(s): Jeffrey Alecci
Claimant Lawyers(s): Marianne Yen
Respondent(s): Michael Sciarra
Respondent Lawyers(s): Michael Sciarra
Arbitrator(s): Stephen Tsai
Hearing Site: New York, NY
| | Expungement |
| 06-02740 | 04/11/2008 | Claimant(s): Jesse Villarreal
Claimant Lawyers(s): Kevin Keaney
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Leslie R. Murtagh
Arbitrator(s): James John Jurinski, Martha Jeanne Wilcoxson, John Robert Oreskovich
Hearing Site: Portland, OR
| | |
| 05-06100 | 04/10/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Theodore Larsen
Respondent Lawyers(s): Theodore A. Larsen
Arbitrator(s): Stephen L. Przewlocki, Paul J. Phillips, James W. Warren
Hearing Site: Phoenix, AZ
| | |
