03-05904 | 11/30/2007 | Claimant(s): Alyson Johansen Claimant Lawyers(s): Gary A. Weissman Respondent(s): Washington Square Securities. Respondent Lawyers(s): Kenneth L. Dobkin Arbitrator(s): Albert A. Woodward, Frederick Ramos, Frederick C. Brown Hearing Site: Minneapolis, MN
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06-00693 | 11/30/2007 | Claimant(s): David Brus, Thomas Olsson Claimant Lawyers(s): William M. Azkoul Respondent(s): LaSalle Financial Services. Respondent Lawyers(s): Stephen P. Bedell Arbitrator(s): John A. Hubbard, Norman A. Samson, Miles D. Hart Hearing Site: Detroit, MI
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06-03854 | 11/30/2007 | Claimant(s): Margie Aguirre Claimant Lawyers(s): Linda M. Deola Respondent(s): Piper Jaffray & Co. Respondent Lawyers(s): Jeanne M. Bender Arbitrator(s): Clifford N. Coury, Kevin D. Swenson, James F. Zotter Hearing Site: Helena, MT
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05-01106 | 11/30/2007 | Claimant(s): Anthony Titone Claimant Lawyers(s): Kimberly N. Testa Respondent(s): RBC Dain Rauscher., Stanley Hochhauser Respondent Lawyers(s): Sandra Grannum Arbitrator(s): Ivan W. Harper, Frank J. Spencer, Steven A. Infante Hearing Site: New York, NY
| | Stipulated Award and Expungement |
06-05212 | 11/30/2007 | Claimant(s): Michael Sapack Claimant Lawyers(s): Howard Rosenfield Respondent(s): CIBC World Markets Corp. Respondent Lawyers(s): Lloyd S. Clareman Arbitrator(s): John M. Kennedy, Houston Putnam Lowry, David A. Dee Hearing Site: Hartford, CT
| | Stipulated Award |
06-03882 | 11/30/2007 | Claimant(s): Francis Filosa Claimant Lawyers(s): Francis R. Filosa Respondent(s): Alan Avedissian, Charles Schwab & Co.. Respondent Lawyers(s): Sean B. Meehan Arbitrator(s): CathyLyn Rossi, William Marlin Turner, Brent J. Rosenbaum Hearing Site: Los Angeles, CA
| | $0 |
06-02931 | 11/29/2007 | Claimant(s): RBC Dain Rauscher. Claimant Lawyers(s): Carolyn Guy Respondent(s): Carmine Grillo, Charles Hubbard, Christopher Horner, Melvin Reiter, Robert Weaver, Dain Rauscher Financial Group Respondent Lawyers(s): Carolyn Guy, Merle H. Horwitz Arbitrator(s): Robert S. Fash, Linda J. Berberian, Kendall C. Reed Hearing Site: Los Angeles, CA
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06-03677 | 11/29/2007 | Claimant(s): Lewis Goldman Claimant Lawyers(s): Lewis Ira Goldman Respondent(s): Eduardo Prado, Finacorp Securities Respondent Lawyers(s): Eduardo J. Prado, Eduardo Jose Prado Arbitrator(s): Steven A. Infante, Joseph Rudolph Guarino, Brian F Loveman Hearing Site: New York, NY
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01-00028 | 11/29/2007 | Claimant(s): Guity Moghadam, Jonathan Peace, Susan Peace Claimant Lawyers(s): Jonathan E. Peace Respondent(s): Jim Lau, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Bryan I. Reyhani Arbitrator(s): Linda Marie Edson, Ernest L. Burnside, Laurel L. Hyde Hearing Site: San Diego, CA
| | $0 |
06-02806 | 11/28/2007 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Renan I. Sugarman Respondent(s): Michael Jacobs Respondent Lawyers(s): Michael F. Jacobs Arbitrator(s): Cletus E. Byrne, Roger T. Felthoven, Carla B. Minckley Hearing Site: Denver, CO
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