| 07-01174 | 01/09/2008 | Claimant(s): Laurie Lujan
Claimant Lawyers(s): Laurie Lujan
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Marcie S. Mintz
Arbitrator(s): Kelly A. Barker
Hearing Site: Los Angeles, CA
| | |
| 06-01589 | 01/08/2008 | Claimant(s): Timothy Martin
Claimant Lawyers(s): Timothy Martin
Respondent(s): Scott & Stringfellow
Respondent Lawyers(s): David E. Constine
Arbitrator(s): Francis M. Hall, John D. Robb, John Kevin Williams
Hearing Site: Richmond, VA
| | |
| 06-03670 | 01/08/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michae Hampton
Respondent Lawyers(s): Albert S. Watkins
Arbitrator(s): Thomas J. Ray, Bruce S. Feldacker, Jesse David Hill
Hearing Site: St. Louis, MO
| | |
| 04-05843 | 01/08/2008 | Claimant(s): Helen Wolff, The Helen Wolff Revocable Trust
Claimant Lawyers(s): Rosalind Robertson
Respondent(s): Ernest Caponegro, Herbert Kurinsky, Patrick Flanagan, Robert Rabinowitz, William Kurinsky, First Montauk Securities Corp.
Respondent Lawyers(s): Matthew Tracy, Vincent P. Pozzuto
Arbitrator(s): Robert A. Vaccaro, Michael S. Lazan, Howard A. Baker
Hearing Site: New York, NY
|  | Stipulated Award and Expungement |
| 07-00690 | 01/08/2008 | Claimant(s): Skips A/S Lodd
Claimant Lawyers(s): Conrad T. Gogstad
Respondent(s): Jason Pinsky, Harrison Securities.
Respondent Lawyers(s): Frederick Blumer, Michael Utilla
Arbitrator(s): Robert S. Getman
Hearing Site: New York, NY
| | $4,850 |
| 07-01506 | 01/07/2008 | Claimant(s): Mesirow Financial.
Claimant Lawyers(s): A. Brad Busscher
Respondent(s): John Holoubek
Respondent Lawyers(s): John Francis Holoubek
Arbitrator(s): Daniel Baruch Lidawer
Hearing Site: Chicago, IL
| | |
| 07-02035 | 01/07/2008 | Claimant(s): Clark Dodge & Co..
Claimant Lawyers(s): Randle B. Carpenter
Respondent(s): James Rossi
Respondent Lawyers(s): James David Rossi
Arbitrator(s): W. Jeffrey Weinlandt
Hearing Site: New York, NY
| | |
| 07-01760 | 01/07/2008 | Claimant(s): Richard Littell
Claimant Lawyers(s): Richard E. Littell
Respondent(s): Keith Connolly, William Mancusi, Vision Securties.
Respondent Lawyers(s): Harry J. Delagrammatikas, William Anthony Mancusi, William Mancusi
Arbitrator(s): Joann Peters
Hearing Site: Dallas, TX
| | $2,908 |
| 07-00758 | 01/07/2008 | Claimant(s): John Rendall
Claimant Lawyers(s): Michael W. Wile
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Charles A. Gall
Arbitrator(s): Douglas A. Barr, Barry H. Barnett, James W. Warren
Hearing Site: Albuquerque, NM
| | $0 |
| 07-01608 | 01/04/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Thomas Mitchell
Respondent Lawyers(s): Thomas Mitchell
Arbitrator(s): Ronnie Edward Nichols, Glenn A. Clinefelter, John Wescoat Sandlin
Hearing Site: Columbia, SC
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