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
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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
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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
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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
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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
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