| 07-01808 | 02/08/2008 | Claimant(s): Philip Maggio
Claimant Lawyers(s): Philip I Maggio
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Raymond Wade Henney, James L. Karpen, Dale Frederick Feigley
Hearing Site: Detroit, MI
|  | $0 |
| 07-00960 | 02/07/2008 | Claimant(s): Edgar Barron
Claimant Lawyers(s): Edgar Rene Barron
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Kathleen A. Dedenbach
Arbitrator(s): John R. Main, Warren A. Forest, Benjamin E. Fisher
Hearing Site: Orlando, FL
| | |
| 07-01933 | 02/07/2008 | Claimant(s): Robert L. Kellogg & Evelyn Lea Kellogg,
Claimant Lawyers(s): Robert L Kellogg
Respondent(s): Crowell, Weedon & Co.
Respondent Lawyers(s): James R. Kruger
Arbitrator(s): Maureen Power Wilkerson
Hearing Site: Washington, DC
| | $12,213 |
| 05-04568 | 02/06/2008 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Shepherd D. Tate
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Eric Seiler
Arbitrator(s): Beverly S. Gordon, Russell W. Merriman, Marshal H. Emerson
Hearing Site: Tampa, FL
| | |
| 06-04325 | 02/06/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Greg Simon
Respondent(s): David Smith
Respondent Lawyers(s): Jessica Block
Arbitrator(s): Stephen M. Acerra, Zenon Charles Tencza, Jacqueline Marie Pierre
Hearing Site: Boston, MA
| | |
| 06-00371 | 02/06/2008 | Claimant(s): Rose Portolano
Claimant Lawyers(s): James A. Prestiano
Respondent(s): Anton Gerdes, Carl De Lucia, Harold Garrecht, Steven Gatto, East Shore Partners.
Respondent Lawyers(s): Michael P. Gilmore, Steven S. Gatto
Arbitrator(s): Larry A. Kimmel, Barry Feiden, Ronald J Betso
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 06-02392 | 02/06/2008 | Claimant(s): Robert Scherrer
Claimant Lawyers(s): Richard DeVita
Respondent(s): Brill Securities.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $64,605 |
| 06-03931 | 02/06/2008 | Claimant(s): Patricia Murphy
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): Chintaman Dalvi, James Patten, Empire Financial Group., Greater Metropolitan Investment Serv., T.R. Winston & Company
Respondent Lawyers(s): Eden L. Rohrer, James Patten, Richard C. Szuch, Sheryl M. Goski, Todd Zuckerbrod
Arbitrator(s): Leon Henderson, Donald Cornelius Morrison, Alan L. Berger
Hearing Site: Raleigh, NC
| | $1,165,800 |
| 07-01955 | 02/06/2008 | Claimant(s): Ronald L. and Shelli M. Elledge
Claimant Lawyers(s): Eddie A. Pantiliat
Respondent(s): Brian Tollefson, Kevin Wittig, Edward Jones
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): George N. Roy
Hearing Site: Phoenix, AZ
| | Stipulated Award and Expungement |
| 07-02441 | 02/06/2008 | Claimant(s): Sandra Ask, Theron Ask, Theron Ask and Sandra Ask
Claimant Lawyers(s): Michael MacDonald
Respondent(s): Gerald Zyskowski, Gardner Financial Services.
Respondent Lawyers(s): Nicole M. Siemens, Richard A. Lind
Arbitrator(s): Bruce J. Nerland, Joan L. Volz, Janna Rae Severance
Hearing Site: Minneapolis, MN
| | $0 |
