| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
