07-01665 | 01/28/2008 | Claimant(s): Cowen and Company Claimant Lawyers(s): Lloyd S. Clareman Respondent(s): Paul Balser Respondent Lawyers(s): Eric J. Grannis Arbitrator(s): Michael P. Golden, Douglas F. Stone, Jean C. Black Hearing Site: New York, NY
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03-09099 | 01/28/2008 | Claimant(s): Barbara King, The Barbara King Family Trust Claimant Lawyers(s): Brian Maas Respondent(s): David Kotowski, David Savetz, UBS Financial Services Inc. Respondent Lawyers(s): David C. Franceski, David Katowski Arbitrator(s): Constantine N. Katsoris, John B. Morgan, Alan R. Sloate Hearing Site: New York, NY
| | $1,750,000 |
07-01824 | 01/28/2008 | Claimant(s): Henry Feinstein & Augusta R. Feinstein Claimant Lawyers(s): Henry Feinstein Respondent(s): Banc of America Investment Services, I Respondent Lawyers(s): George F. Meierhofer Arbitrator(s): Howard S. Wacker Hearing Site: Phoenix, AZ
| | $2,625 |
06-04113 | 01/25/2008 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Renan Sugarman Respondent(s): Ken Bott Respondent Lawyers(s): Aileen E. Cohen Arbitrator(s): Steven A. Budin, Royetta M. Jones, Richard W. Pendleton Hearing Site: Las Vegas, NV
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06-04595 | 01/25/2008 | Claimant(s): Basic Investors. Claimant Lawyers(s): Eric S. Hutner Respondent(s): Glen Meyer Respondent Lawyers(s): Glen Meyer Arbitrator(s): John A. Astorina, John P. Bevilacqua, Eric J. Sussman Hearing Site: New York, NY
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05-06516 | 01/25/2008 | Claimant(s): Heinz Haenggeli Claimant Lawyers(s): W. Scott Grecco Respondent(s): Respondent Lawyers(s): Arbitrator(s): Rena E. Grossfield, Stephen M. Gross, Christine Moore Hearing Site: New York, NY
| | Stipulated Award and Expungement |
07-01983 | 01/25/2008 | Claimant(s): Michael D. Meyers & Mary C. Meyers Claimant Lawyers(s): Michael D. Meyers Respondent(s): Ameriprise Advisor Services., Jay Wireman Respondent Lawyers(s): Donald P. Wray Arbitrator(s): W. Sean Kelleher Hearing Site: Columbus, OH
| | $16,929 |
07-00490 | 01/25/2008 | Claimant(s): Sushila Patel Claimant Lawyers(s): Viren R. Patel Respondent(s): E*Trade Securities LLC, Naniben Patel Respondent Lawyers(s): John Bersin, Naniben Patel Arbitrator(s): Anne H. Orr Hearing Site: Atlanta, GA
| | $0 |
07-01779 | 01/24/2008 | Claimant(s): Stifel, Nicolaus & Co.. Claimant Lawyers(s): Forrest M. Smith Respondent(s): Carl Hyde Respondent Lawyers(s): Carl F. Hyde Arbitrator(s): G. Brooks Euler Hearing Site: Louisville, KY
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07-01876 | 01/24/2008 | Claimant(s): Robert Cash Claimant Lawyers(s): Laura I. Hillerich Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): Richard A. Boucher Arbitrator(s): Mitchell B. Goldberg Hearing Site: Cincinnati, OH
| | $6,386 |