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
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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
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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
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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
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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
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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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