| 06-05062 | 03/11/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Susan J. Steinthal
Respondent(s): Global Credit Partners
Respondent Lawyers(s): Harry J. Delagrammatikas
Arbitrator(s): Michael T. Curley, Andrew H. Freund, Paul R. Walsh
Hearing Site: New York, NY
| | |
| 06-05235 | 03/11/2008 | Claimant(s): Gary Weglarz
Claimant Lawyers(s): Leslie A Blau
Respondent(s): Donna Bellamy, Wayne Dennis, Woodbury Financial Services.
Respondent Lawyers(s): John D. Ryan, Marshall L. Blankenship
Arbitrator(s): Michael S. Matek, John W. Jerak, Michael Stephen Knight
Hearing Site: Chicago, IL
|  | $0 |
| 06-05255 | 03/10/2008 | Claimant(s): Anthony Guarraci, Gregory Jones
Claimant Lawyers(s): Joseph Alan White
Respondent(s): E*Trade Securities LLC, Stephen Ehrlich, E*Trade Brokerage Holdings, E*Trade Financial Corporation, E*Trade Professional Trading, ETP Holdings., Lightspeed Professional Trading
Respondent Lawyers(s): Robert C. Varnell
Arbitrator(s): Joel Steven Arogeti, Frank W. Virgin, Mary O. Pitts
Hearing Site: Atlanta, GA
| | |
| 07-01145 | 03/10/2008 | Claimant(s): David Castillo
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Harry B. Endsley, James Conrad Riewerts, Susan J. Alexander
Hearing Site: San Francisco, CA
| | |
| 06-03270 | 03/10/2008 | Claimant(s): Russell Dewing
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): John P. Cullem, Beverly S. Gordon, Robert Stephen Burns
Hearing Site: Tampa, FL
| | $75,000 |
| 06-04508 | 03/10/2008 | Claimant(s): David McLaren, Jean-Rene Menand, Pierre Willard, DML Sierra Vista Investments LLC, Gailen Partners, JRM San Antonio Investments LLC, JRM San Antonio Investors., JRM San Antonio Partners, PW Gailen Alto Investors., PW Gailen Investments, RJP Investment Partners, RJP Los Altos Investments LLC, Sierra Vista Partners, Ramesh and Jaya Padmanabhan
Claimant Lawyers(s): W. Ralph Canada
Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc., Rita Rothstein, Morgan Stanley Capital Group
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Frank R Weaver, Homer M. Dalbey, Hadden Wing Roth
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 07-01594 | 03/10/2008 | Claimant(s): William Ralston
Claimant Lawyers(s): William R. Ralston
Respondent(s): Andra Dillard, Delta Trust Investments.
Respondent Lawyers(s): Nate Coulter
Arbitrator(s): Chet Roberts, Rudy A. Martin, Jay R. Robinson
Hearing Site: Little Rock, AR
| | $0 |
| 07-00724 | 03/07/2008 | Claimant(s): Michael Bodino, Paul Westervelt, Coker, Palmer, Phillips & Mullen.
Claimant Lawyers(s): E. Barney Robinson
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): Patricia C. Diak
Arbitrator(s): Frederick S. Duncan, David T. Maddux, Kenneth I. Daniels
Hearing Site: Jackson, MS
| | |
| 07-02787 | 03/07/2008 | Claimant(s): Lawrence Frankel
Claimant Lawyers(s): Eva H Posman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Amy M. Fritsky
Arbitrator(s): Cynthia A. DiMarco
Hearing Site: New York, NY
| | |
| 06-02977 | 03/07/2008 | Claimant(s): Rayna Brown
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): J.P. Morgan Securities., John Anderson, PFG Distribution Company
Respondent Lawyers(s): Robert J. Stumpf, Jr.
Arbitrator(s): Isidoro Berkman, William Michael Samsel, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | $99,963 |
