| 07-00117 | 02/15/2008 | Claimant(s): David Franck
Claimant Lawyers(s): Debra Hayes
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Gretchen A. Agee
Arbitrator(s): Gary L. Vezina, James G. Harlan, Dale G. Higer
Hearing Site: Boise, ID
|  | $264,485 |
| 07-01236 | 02/15/2008 | Claimant(s): John Wallis, John R. Wallis IRA
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): LLoyd S. Clareman
Arbitrator(s): William Edward Buck, Martin Samuel Altimore, Martin Epner
Hearing Site: Houston, TX
| | Stipulated Award |
| 07-01661 | 02/15/2008 | Claimant(s): Ethel Cress
Claimant Lawyers(s): Jon-Henry Barr
Respondent(s): Alan Fox, Citigroup Global Markets., Louis Metzger
Respondent Lawyers(s): Douglas B. Appel, Hugo A. Hilgendorff
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $0 |
| 06-02146 | 02/14/2008 | Claimant(s): Stifel, Nicolaus & Co.., Frank Whiteside, Robert Andresen, Stephen Jusick
Claimant Lawyers(s): Jeffrey J. Kalinowski, Robert Novack
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Scott J. Vold
Arbitrator(s): Robert S. Getman, Simone A. Muscarnera, Paul R. Walsh
Hearing Site: Newark, NJ
| | |
| 07-01001 | 02/14/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Monica Liska
Respondent Lawyers(s): Monica M. Liska
Arbitrator(s): Lee T. Beske, Christopher Daniel Gryzen, David A. Peterson
Hearing Site: Minneapolis, MN
| | |
| 07-01189 | 02/14/2008 | Claimant(s): Lisa Lindley
Claimant Lawyers(s): B. Scott Whipple
Respondent(s): Strand, Atkinson, Williams & York
Respondent Lawyers(s): Todd A. Hanchett
Arbitrator(s): Gary N. Hardiman, Keith C. Folkman, Gary F. Purpura
Hearing Site: Portland, OR
| | |
| 05-04256 | 02/14/2008 | Claimant(s): Jose Rivera
Claimant Lawyers(s): Darren C. Blum
Respondent(s): John Elwin, Nicholas Natale, Granite Associates.
Respondent Lawyers(s): John D. Elwin, Nicholas A. Natale
Arbitrator(s): David P. Slater, Richard W. Thornburg, Thomas Roe Oldt
Hearing Site: Orlando, FL
| | $676,000 |
| 07-02563 | 02/14/2008 | Claimant(s): Estate of Alvinett Neidhart
Claimant Lawyers(s): Pamela Neidhart-Ring
Respondent(s): Scotty Schoettlin, Citicorp Investment Services
Respondent Lawyers(s): Douglas B. Appel, Scotty Schoettlin
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $17,795 |
| 06-04445 | 02/14/2008 | Claimant(s): American Municipal Securities.
Claimant Lawyers(s): Robert Persante
Respondent(s): Gregg Hollidge, John A. and Drewry Mitchell
Respondent Lawyers(s): Michael T. Medford, Robert Persante
Arbitrator(s): Lynne T. Albert, George Steven Moore, Karen A. West
Hearing Site: Raleigh, NC
| | $0 |
| 05-04806 | 02/13/2008 | Claimant(s): Richard Maclennan
Claimant Lawyers(s): Jeffrey M. Sklarz
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Robert A. Buhlman
Arbitrator(s): Jane S. McMahon, William C. Freitag, Brian J. Dunn
Hearing Site: Hartford, CT
| | |
