| 05-02411 | 02/20/2008 | Claimant(s): Thomas Fitzgerald
Claimant Lawyers(s): J. Steven Parker
Respondent(s): Ameriprise Advisor Services., H & R Block.
Respondent Lawyers(s): Robert M. Vercruysse
Arbitrator(s): Dana R. Dawe, Martin I. Reisig, Mayra Adela Rodriguez
Hearing Site: Detroit, MI
| | |
| 07-00352 | 02/20/2008 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Crystal Steele
Respondent Lawyers(s): Crystal Steele
Arbitrator(s): Walton L. Huff, Leslie Bernard Jallans, Stacey L. Barnes
Hearing Site: Houston, TX
| | |
| 06-05130 | 02/20/2008 | Claimant(s): Clinton and Julie Howe
Claimant Lawyers(s): F. Albert Ibrahim
Respondent(s): Gregory Geis, Allstate Life Insurance Company, BancWest Investment Services., Bank of the West
Respondent Lawyers(s): Barry D. Hovis, Sonia R. Martin
Arbitrator(s): John Patrick Kelly, Nick G. Tarlson, Mark Aaron Jones
Hearing Site: San Francisco, CA
|  | $3,750 |
| 05-05660 | 02/19/2008 | Claimant(s): AIG Financial Advisors.
Claimant Lawyers(s): Abby Henig
Respondent(s): Allen Darby
Respondent Lawyers(s): John F. Hanzel
Arbitrator(s): David P. McDuffee, John D. Robb, Michael C. Wittenberg, CPF, CLU, ChFC
Hearing Site: Charlotte, NC
| | |
| 06-04146 | 02/19/2008 | Claimant(s): Victor Silano
Claimant Lawyers(s): Laurent S. Drogin
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Thomas E. Duggan, David R. Bolnick, Michael L. Moran
Hearing Site: New York, NY
| | |
| 07-00795 | 02/19/2008 | Claimant(s): Hugo Castro
Claimant Lawyers(s): Hugo Castro
Respondent(s): Frank Fierro, Legg Mason Wood Walker
Respondent Lawyers(s): Gretchen Klebasko
Arbitrator(s): J. Kirkland Grant, N. John Garcia, Dana R. Krajack
Hearing Site: Columbia, SC
| | $5,604 |
| 07-01105 | 02/19/2008 | Claimant(s): Karen Schwartz
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Rodney Acker
Arbitrator(s): Judith A. Gust, Evelyn R. Wiggins, Zachary Scott Rigdon
Hearing Site: San Diego, CA
| | $0 |
| 07-02095 | 02/19/2008 | Claimant(s): Stephen S. Francis
Claimant Lawyers(s): Stephen S Francis
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): William Michael Samsel
Hearing Site: San Francisco, CA
| | $213 |
| 07-00970 | 02/15/2008 | Claimant(s): Kevin Doss
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Roger W. Van Deusen, James A. Laurenson, Blanca E. Ortiz
Hearing Site: Cleveland, OH
| | |
| 07-01315 | 02/15/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Cooper
Respondent Lawyers(s): Thomas Stephen Cooper
Arbitrator(s): Richard L. Oates, Thomas C. Moxley, Richard Lee Matthews
Hearing Site: Nashville, TN
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