06-03048 | 12/24/2007 | Claimant(s): Adam Aspes, Catherine Lesterhuis, Curtis Thompson, Jacob Morton, Scott Hootman Claimant Lawyers(s): Latanishia D. Watters Respondent(s): Brian Foley, Daniel Joyce, Michael Braun, William Devin Jr., Moor & Cabot Inc., Sal Financial Services., d/b/a Ster, Sterne Agee Capital Markets., Sterne, Agee & Leach. Respondent Lawyers(s): Latanishia D. Watters, Sander A. Rikleen Arbitrator(s): Paul J. Camilleri, David Finnegan, John F. Duane Hearing Site: New York, NY
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05-04639 | 12/21/2007 | Claimant(s): Wachovia Securities Claimant Lawyers(s): William W. Allen Respondent(s): David Pennington, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): David E. Davidson, Russell Sayre Arbitrator(s): Amelia F. Adams, Carolyn K. Balleisen, John D. Robb Hearing Site: Louisville, KY
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07-01635 | 12/21/2007 | Claimant(s): Michael Pata, Steven Dubinsky Claimant Lawyers(s): Michael Pata, Steven Dubinsky Respondent(s): Institutional Equity Corporation Respondent Lawyers(s): Jeffrey Michel Arbitrator(s): Robert Pincus Hearing Site: New York, NY
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05-02000 | 12/21/2007 | Claimant(s): Lewis Worms, Lewis E. and Corrine I. Worms Trust Claimant Lawyers(s): Stephen H. Marcus Respondent(s): J.P. Turner & Company Respondent Lawyers(s): Scott Holcomb Arbitrator(s): Carolyn V. Quadt, Vincent J. Natoli, Karen J. Burneff Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
07-01426 | 12/21/2007 | Claimant(s): Kerry Meyer, William Kreyenhagen Claimant Lawyers(s): Lori A. Ross Respondent(s): Robert Hogsette, Dawson Corporation, Ltd., Dawson Wealth Management Agency., Multi-Financial Securities. Respondent Lawyers(s): Marion H. Little Arbitrator(s): Charles D. Underwood Hearing Site: Cincinnati, OH
| | $37,154 |
06-03130 | 12/21/2007 | Claimant(s): William Burke Claimant Lawyers(s): Donald G. McGrath Respondent(s): A.G. Edwards & Sons. Respondent Lawyers(s): Dennis J. Capriglione Arbitrator(s): Eugene M. Setel, Keith A. Maier, Kathleen Fay Smith Hearing Site: Buffalo, NY
| | $0 |
07-01027 | 12/21/2007 | Claimant(s): Margaret Welch Claimant Lawyers(s): Margaret Ann Welch Respondent(s): Morgan Stanley DW Inc., Robert Glover Respondent Lawyers(s): Lisa B. Dodge Arbitrator(s): Charles R. Tindell, William H. Fleece, Elwood Henry Weilage Hearing Site: Orlando, FL
| | $0 |
07-01852 | 12/21/2007 | Claimant(s): Keith Kritikakos and Hollis L. Orvik Claimant Lawyers(s): Keith A. Kritikakos Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Payne L. Templeton Arbitrator(s): Ferdinand Schoch Hearing Site: San Francisco, CA
| | $125 |
06-00700 | 12/20/2007 | Claimant(s): Dennis Metter, Donald Metter Claimant Lawyers(s): Paula K. Maguire Respondent(s): Wachovia Securities Respondent Lawyers(s): Jennifer R. Seltenrich Arbitrator(s): Victor Elting, Thomas F. Ryan, Jeffrey L. Durkes Hearing Site: Chicago, IL
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07-00410 | 12/20/2007 | Claimant(s): Issa Razzaghi Claimant Lawyers(s): Issa Razzaghi Respondent(s): WAMU Investments. Respondent Lawyers(s): Richard B. Davis Arbitrator(s): Larry Edmonson Hearing Site: Los Angeles, CA
| | $7,500 |