| 07-02995 | 04/03/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Todd Smith
Respondent Lawyers(s): Todd Smith
Arbitrator(s): Jonathan H. Larson
Hearing Site: Augusta, ME
| | |
| 06-04996 | 04/03/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Leonard Coleman
Respondent Lawyers(s): Leonard Coleman
Arbitrator(s): W. Michael Frazier
Hearing Site: Charleston, WV
|  | $0 |
| 07-03004 | 04/03/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Brandon K. Hemley
Respondent(s): Jeffrey Lin
Respondent Lawyers(s): Jeffrey S. Lin
Arbitrator(s): Burton M. Fendelman, David N. Brainin, Aaron Tyk
Hearing Site: New York, NY
| | $65,334 |
| 06-02137 | 04/03/2008 | Claimant(s): Wayne D. and H. Kaye McCullough
Claimant Lawyers(s): Elizabeth Zeck
Respondent(s): James Barnett, Jane Smith, Jane B. Smith, CFP & Associates., Jefferson Pilot Securities Corporation
Respondent Lawyers(s): Alan M. Herman, Andrew V. Tramont
Arbitrator(s): Glenn A. Clinefelter, Wendy J. Reyner, Laura Puccia Valtorta
Hearing Site: Columbia, SC
| | Expungement |
| 07-00115 | 04/03/2008 | Claimant(s): William Carpenter
Claimant Lawyers(s): Matthew W. Woodruff
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Eric E. Reed
Arbitrator(s): Boyd H. Scheff, Abe I. Shtulsaft, Angela Lourdes Ortiz
Hearing Site: New York, NY
| | $108,370 |
| 06-03860 | 04/03/2008 | Claimant(s): Larry Muehlstein, Larry J. Muehlstein IRA
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): George Jackson, Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Linda Fairchild, Joyce Alana Jolley, A.J. Seier
Hearing Site: Orlando, FL
| | $0 |
| 07-02278 | 04/02/2008 | Claimant(s): Walter Moore
Claimant Lawyers(s): Victor A. Mezacapa
Respondent(s): Richard Tanner
Respondent Lawyers(s): Roger W. Van Deusen
Arbitrator(s): Daniel G. Zeiser
Hearing Site: Cleveland, OH
| | |
| 06-05156 | 04/02/2008 | Claimant(s): Carlos Robledo
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Jack Stein, Richard S. Herman, Marshall Scott Milinski
Hearing Site: Boca Raton, FL
| | $8,536 |
| 07-01262 | 04/02/2008 | Claimant(s): Kurt Rogers, Sharon Rogers
Claimant Lawyers(s): William F. Brattain
Respondent(s): Floyd Shilanski, Rosa Shilanski, Shilanski & Asssociates., Summit Brokerage Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Philip E. Cutler, Kim D. Stephens, Julie Eileen Gay
Hearing Site: Anchorage, AK
| | Dismissed by Rule 12206 |
| 03-09085 | 03/31/2008 | Claimant(s): Fred Lowenschuss, Laurance Lowenschuss, ENTERED IN ERROR, Alan Lowenschuss Trust UAD 1/24/89, Edward Lowenschuss Trust UAD 1/24/89
Claimant Lawyers(s): Edward Lowenschuss, Fred Lowenschuss
Respondent(s): Sanford I. Weill, Citigroup Global Markets., Jack B. Grubman, John Hoffmann, Joseph Friedman, Kevin McCaffrey, Robert Waldman
Respondent Lawyers(s): William F. Alderman
Arbitrator(s): Michael W. Burnett, Erik R. Siering, Arthur T. Berggren
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
