07-01827 | 12/07/2007 | Claimant(s): Betty Jean Davis IRA Claimant Lawyers(s): Betty Jean Davis Respondent(s): TD Ameritrade. Respondent Lawyers(s): Kelly R. Davis Arbitrator(s): F. Richard Middaugh Hearing Site: Helena, MT
| | $0 |
07-02952 | 12/06/2007 | Claimant(s): Fidelity Brokerage Services LLC Claimant Lawyers(s): Brian I. Hays Respondent(s): Thomas Vance Respondent Lawyers(s): Thomas K. Vance Arbitrator(s): Laurie J. Butler Hearing Site: Los Angeles, CA
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06-02349 | 12/06/2007 | Claimant(s): Miriam Nigohosian Claimant Lawyers(s): Jennifer M. Jordan Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): William J. Manning Arbitrator(s): Robert L. Palleschi, Zuhayr A. Moghrabi, Kenneth Paul Williams Hearing Site: New York, NY
| | $158,801 |
07-01589 | 12/06/2007 | Claimant(s): Fiduciary Trust Co NH Cust FBO John P. Claimant Lawyers(s): John P. Lake Respondent(s): Jeff Whitaker, Waddell & Reed Respondent Lawyers(s): Jill W. Lens Arbitrator(s): Stephen R. Clark Hearing Site: San Diego, CA
| | $21,291 |
06-02594 | 12/06/2007 | Claimant(s): Louie Kau Wang and June Ting Wang Claimant Lawyers(s): Joseph F. Kornicki Respondent(s): Howard Moses, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Edwin A. Zipf Arbitrator(s): Jim Geiger, Steven T. Stern, Richard Frank Colello Hearing Site: Philadelphia, PA
| | $0 |
06-03213 | 12/06/2007 | Claimant(s): Rindy Merrifield Inc Def Ben Plan 1/00 Claimant Lawyers(s): Timothy A. Canning Respondent(s): Michael Woods, Mutual Service Corporation Respondent Lawyers(s): G. Thomas Fleming Arbitrator(s): James S. Martin, Walter J. Huntley, Richard Conlon Lehrmann Hearing Site: San Francisco, CA
| | $0 |
06-04130 | 12/06/2007 | Claimant(s): Estate of Harriet H. Dublon Claimant Lawyers(s): Jack Scarola Respondent(s): Ronnie Flint Respondent Lawyers(s): Ronnie W. Flint - K70204/1106u Arbitrator(s): Seth L. Finkel, Richard Anthony Jannuzzi, Sandra J. Bakalus Hearing Site: Boca Raton, FL
| | $0 |
06-05136 | 12/06/2007 | Claimant(s): Elaine Pulig Claimant Lawyers(s): Elaine L. Pulig Respondent(s): Jean Smith, Janney Montgomery Scott LLC Respondent Lawyers(s): Carrie L. Chelko, Jean Smith Arbitrator(s): Paul R. Meese, Edward A. Grupp, Alfred E. Lawson Hearing Site: Pittsburgh, PA
| | $0 |
07-00879 | 12/06/2007 | Claimant(s): Jodeen Fletcher Claimant Lawyers(s): Robert A. Uhl Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Katherine B. Harrison Arbitrator(s): Larry R. Trussell, Frederick B. Anderson, Jeffrey A. Bainbridge Hearing Site: Omaha, NE
| | $0 |
06-05355 | 12/05/2007 | Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Ross E. Noble Respondent(s): Frank Parlato Respondent Lawyers(s): Frank C. Parlato Arbitrator(s): James P. Murphy, George Frederick Garris, Paul Frederick Meyer Hearing Site: Los Angeles, CA
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