07-00795 | 02/19/2008 | Claimant(s): Hugo Castro Claimant Lawyers(s): Hugo Castro Respondent(s): Frank Fierro, Legg Mason Wood Walker Respondent Lawyers(s): Gretchen Klebasko Arbitrator(s): J. Kirkland Grant, N. John Garcia, Dana R. Krajack Hearing Site: Columbia, SC
| | $5,604 |
07-01105 | 02/19/2008 | Claimant(s): Karen Schwartz Claimant Lawyers(s): Steven D. Toskes Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): Rodney Acker Arbitrator(s): Judith A. Gust, Evelyn R. Wiggins, Zachary Scott Rigdon Hearing Site: San Diego, CA
| | $0 |
07-02095 | 02/19/2008 | Claimant(s): Stephen S. Francis Claimant Lawyers(s): Stephen S Francis Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John Bersin Arbitrator(s): William Michael Samsel Hearing Site: San Francisco, CA
| | $213 |
07-00970 | 02/15/2008 | Claimant(s): Kevin Doss Claimant Lawyers(s): Derek C. Anderson Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Dennis J. Concilla Arbitrator(s): Roger W. Van Deusen, James A. Laurenson, Blanca E. Ortiz Hearing Site: Cleveland, OH
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07-01315 | 02/15/2008 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Thomas Cooper Respondent Lawyers(s): Thomas Stephen Cooper Arbitrator(s): Richard L. Oates, Thomas C. Moxley, Richard Lee Matthews Hearing Site: Nashville, TN
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07-00117 | 02/15/2008 | Claimant(s): David Franck Claimant Lawyers(s): Debra Hayes Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Gretchen A. Agee Arbitrator(s): Gary L. Vezina, James G. Harlan, Dale G. Higer Hearing Site: Boise, ID
| | $264,485 |
07-01236 | 02/15/2008 | Claimant(s): John Wallis, John R. Wallis IRA Claimant Lawyers(s): Robert A. Uhl Respondent(s): CIBC World Markets Corp. Respondent Lawyers(s): LLoyd S. Clareman Arbitrator(s): William Edward Buck, Martin Samuel Altimore, Martin Epner Hearing Site: Houston, TX
| | Stipulated Award |
07-01661 | 02/15/2008 | Claimant(s): Ethel Cress Claimant Lawyers(s): Jon-Henry Barr Respondent(s): Alan Fox, Citigroup Global Markets., Louis Metzger Respondent Lawyers(s): Douglas B. Appel, Hugo A. Hilgendorff Arbitrator(s): Kenneth J. Horowitz Hearing Site: Newark, NJ
| | $0 |
06-02146 | 02/14/2008 | Claimant(s): Stifel, Nicolaus & Co.., Frank Whiteside, Robert Andresen, Stephen Jusick Claimant Lawyers(s): Jeffrey J. Kalinowski, Robert Novack Respondent(s): RBC Capital Markets Corporation Respondent Lawyers(s): Scott J. Vold Arbitrator(s): Robert S. Getman, Simone A. Muscarnera, Paul R. Walsh Hearing Site: Newark, NJ
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07-01001 | 02/14/2008 | Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Diane C. Fischer Respondent(s): Monica Liska Respondent Lawyers(s): Monica M. Liska Arbitrator(s): Lee T. Beske, Christopher Daniel Gryzen, David A. Peterson Hearing Site: Minneapolis, MN
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