| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
