| 02-00028 | 01/24/2008 | Claimant(s): Richard Almeroth
Claimant Lawyers(s): Richard D. Almeroth
Respondent(s): J.P. Morgan Clearing Corp.
Respondent Lawyers(s): Arlene Semaya
Arbitrator(s): N. John Garcia
Hearing Site: Charlotte, NC
|  | $0 |
| 06-01892 | 01/23/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): John Kennedy
Respondent Lawyers(s): Raymond Nardo
Arbitrator(s): Norris D. Wolff, Stuart Rothenstein, Royce Russell
Hearing Site: New York, NY
| | |
| 07-02134 | 01/23/2008 | Claimant(s): Continental Broker-Dealer Corp. by Tru
Claimant Lawyers(s): Nathan Schwed
Respondent(s): Nicholas Cosmo
Respondent Lawyers(s): Nicholas Joseph Cosmo
Arbitrator(s): Steven David Leader
Hearing Site: New York, NY
| | |
| 05-02755 | 01/23/2008 | Claimant(s): Eden Ginn UGMA/PA, Michael Ginn, IRA, Alison and Michael Ginn, Michael Ginn DDS PC Pension Plan, Michael Ginn Profit Sharing Plan
Claimant Lawyers(s): Sidney L. Gold
Respondent(s): Morgan Stanley DW Inc., Marque Cohen, Dean Witter Reynolds Inc., Morgan Stanley Dean Witter & Co
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Edward T. Borer, Robert F. Sanville, Richard E. Lerner
Hearing Site: Philadelphia, PA
| | Stipulated Award and Expungement |
| 07-02263 | 01/23/2008 | Claimant(s): Lorraine Ecker and Warren Ecker
Claimant Lawyers(s): Lorraine Ecker
Respondent(s): Wachovia Securities
Respondent Lawyers(s): David J. Rice
Arbitrator(s): Stan West
Hearing Site: Boca Raton, FL
| | $163 |
| 06-04606 | 01/22/2008 | Claimant(s): Katherine Reeve
Claimant Lawyers(s): Niall P. McCarthy
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Edward T. Anderson
Arbitrator(s): Walter P. Hitchcock, Alexandra M. Linden, Gail Killefer
Hearing Site: San Francisco, CA
| | |
| 07-02092 | 01/22/2008 | Claimant(s): Gary Fitzer
Claimant Lawyers(s): Gary A. Fitzer
Respondent(s): A. Burch, J. Corpal, J. Goode, L. Ermel, M. Kudlik, R. Gee, T. Snodgrass, W. Candler, ARI Financial Services., Burch & Company.
Respondent Lawyers(s): Christina Birgensmith, Tucker H. Byrd
Arbitrator(s): John H. Griffing, Patricia Ann Tracey, John E. Baynum
Hearing Site: Charlotte, NC
| | |
| 06-04981 | 01/22/2008 | Claimant(s): Charmaine M. and Nathan F. Sherrill
Claimant Lawyers(s): Robert L. Rolnick
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): James R. Augustine, Stacey L. Barnes, Charles Leonard Smith
Hearing Site: Houston, TX
| | $2,000 |
| 03-00505 | 01/22/2008 | Claimant(s): Jan Green
Claimant Lawyers(s): Jan Green
Respondent(s): Richard Nickles, R. Nickles & Company
Respondent Lawyers(s): Gayle L. Wilder
Arbitrator(s): Daphne D. Duverney, Donald S. Simons, Robert Rosen
Hearing Site: Los Angeles, CA
| | $0 |
| 06-00458 | 01/18/2008 | Claimant(s): Joseph Stewart
Claimant Lawyers(s): Hollis Gonerka Bart
Respondent(s): McKim Capital.
Respondent Lawyers(s): Gregory P. Vidler
Arbitrator(s): Vicki Z. Holleman, Robert E. Holley, John E. Frary
Hearing Site: New York, NY
| | |
