07-01366 | 11/28/2007 | Claimant(s): Michael Smith Claimant Lawyers(s): Michael J. Smith Respondent(s): A.G. Edwards & Sons., Wayne Watson Respondent Lawyers(s): Dennis J. Capriglione Arbitrator(s): James A. Hayes Hearing Site: Kansas City, MO
| | $75 |
07-01785 | 11/28/2007 | Claimant(s): William Paulson Claimant Lawyers(s): William J Paulson Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): David M. Minnick Arbitrator(s): John K. Notz Hearing Site: Milwaukee, WI
| | $213 |
06-01350 | 11/27/2007 | Claimant(s): Barbara Kesterson Claimant Lawyers(s): John L. Hampton Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Kathleen Dedenbach Arbitrator(s): David A. Nixon, James A. Hayes, Michael A. Kleinman Hearing Site: Kansas City, MO
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06-04125 | 11/27/2007 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Michael Mercadante Respondent Lawyers(s): Michael Mercadante Arbitrator(s): James J. Brearton, Roland M. Cavalier, Ruth A. Ihne Hearing Site: Albany, NY
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05-06065 | 11/27/2007 | Claimant(s): Gretchen L. and James Fairbairn Claimant Lawyers(s): Robert A. Uhl Respondent(s): CIBC World Markets Corp. Respondent Lawyers(s): Lloyd S. Clareman Arbitrator(s): Otto K. Hilbert, Steven M. Feder, David L. Erickson Hearing Site: Denver, CO
| | Stipulated Award |
05-06316 | 11/27/2007 | Claimant(s): Charles Goldschmidt, David Price, Howard Asher, Ledlie Borgerhoff, Robert Eickholt, Ronald Cook, Terry McSweeney, IRA Claimant Lawyers(s): Ryan K. Bakhtiari Respondent(s): CIBC World Markets Corp. Respondent Lawyers(s): Lloyd S Clareman Arbitrator(s): Clifford A. Harwick, Daniel A. Pinkus, Joseph F. Grassi Hearing Site: New York, NY
| | Stipulated Award |
07-00611 | 11/27/2007 | Claimant(s): Doreen Romamello-Davis Claimant Lawyers(s): Doreen Romamello-Davis Respondent(s): Marc Steinberg Respondent Lawyers(s): Robert B. Steinberg, Esq. Arbitrator(s): Roy L. Weiss Hearing Site: New York, NY
| | $7,425 |
05-00937 | 11/27/2007 | Claimant(s): Li Li Claimant Lawyers(s): Li Li Respondent(s): Alex Shaw, White Pacific Securities. Respondent Lawyers(s): Robert T. Sullwold Arbitrator(s): Robin Lynn Berry, Alan P. Fraser, Dennis Markham Smith Hearing Site: San Francisco, CA
| | $0 |
06-02913 | 11/27/2007 | Claimant(s): Darrell W. and Diana M. Williams Claimant Lawyers(s): Mark T. Womack Respondent(s): Ameriprise Financial Services., Stephen Hamilton, IDS Life Insurance Company Respondent Lawyers(s): Thomas A. Roberts Arbitrator(s): Thomas H. Griffin, W. Merrill Glasgow, Alan M. Holzberg Hearing Site: Houston, TX
| | $0 |
07-00582 | 11/27/2007 | Claimant(s): Laura Hammond, Michael Hammond, Sports Etc II. Profit Sharing Claimant Lawyers(s): Michael F. Hammond Respondent(s): David Sidwell, John Riley, Morgan Stanley DW Inc., Citigroup Global Markets Respondent Lawyers(s): Raul Sanchez, Susan Poder MacFarlane Arbitrator(s): Byron Alexander Menides, Edward Joseph Boudreau, Evalyn Lipton Fishbein Hearing Site: Boston, MA
| | $0 |