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
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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
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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
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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 |