06-05199 | 01/18/2008 | Claimant(s): David Maurice, Lois Carrier Claimant Lawyers(s): Jeffrey B. Kelvin Respondent(s): LPL fka Linsco/Private Ledger Corp. Respondent Lawyers(s): David J. Freniere Arbitrator(s): Joan Stearns Johnsen, John A. Morin, B. John Dill Hearing Site: Boston, MA
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07-00497 | 01/18/2008 | Claimant(s): Bonnie Roth, Connie Roth Claimant Lawyers(s): Dexter B. Johnson, William P. Tedards Respondent(s): Daniel Coyne, Deborah Dudek, Richard Steffen, Tamera Montagna, American Family Securities Respondent Lawyers(s): James P. DeNardo Arbitrator(s): David H. White, Jack J. Herman, Ralph O. Bolt Hearing Site: Chicago, IL
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07-01501 | 01/18/2008 | Claimant(s): Daniel Harris Claimant Lawyers(s): Michael Kalmus Respondent(s): Granite Securities Respondent Lawyers(s): Douglas Didominica Arbitrator(s): Mark D. Quinn Hearing Site: New York, NY
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07-02307 | 01/18/2008 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Tejal N. Shah Respondent(s): Latrice Berry Respondent Lawyers(s): Latrice Berry Arbitrator(s): Joseph F. Pittelli Hearing Site: Wilmington, DE
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06-05099 | 01/18/2008 | Claimant(s): David Peregrin Claimant Lawyers(s): James A. McGurk Respondent(s): William Kassar Respondent Lawyers(s): James J. Eccleston Arbitrator(s): Caroline N. Harney, Carol McHugh Sanders, Gary David Cope Hearing Site: Chicago, IL
| | $198,297 |
07-01003 | 01/18/2008 | Claimant(s): Estate of George C. Tomcik Claimant Lawyers(s): Robert A. Uhl Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Katherine B. Harrison Arbitrator(s): Carl Hohnbaum, Jared D. Simmer, Steven P. Franckhauser Hearing Site: Pittsburgh, PA
| | Stipulated Award |
07-02188 | 01/18/2008 | Claimant(s): Minxin Bao Claimant Lawyers(s): Minxin Bao Respondent(s): Firstrade Securities. Respondent Lawyers(s): Peter Gschweng Arbitrator(s): Lee H. Goodman Hearing Site: Chicago, IL
| | $25,392 |
07-02260 | 01/18/2008 | Claimant(s): Anna I. Young Roth IRA, Frederick E. Young Roth IRA, Frederick and Anna Young Joint Tenants Claimant Lawyers(s): Benjamin B. Siegel Respondent(s): TD Ameritrade. Respondent Lawyers(s): Kelly R. Davis Arbitrator(s): Ronald L. Cameron Hearing Site: Los Angeles, CA
| | $0 |
06-03220 | 01/17/2008 | Claimant(s): Maria Tsalis Claimant Lawyers(s): Joseph A. Golden Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Robert M. Vercruysse Arbitrator(s): Barry Goldman, Benjamin A. Kerner, Veronique M. Liem Hearing Site: Detroit, MI
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03-06469 | 01/17/2008 | Claimant(s): James A. Manganiello & Wanda Stevens Claimant Lawyers(s): Derek C. Anderson Respondent(s): Domenic Kalil, Morgan Stanley DW Inc. Respondent Lawyers(s): Thomas Briody Arbitrator(s): Howard I. Wilgoren, Sharon L. Monroe, Sylvia E. Green Hearing Site: Boston, MA
| | Stipulated Award and Expungement |