| 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
| | |
| 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
| | |
| 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 |
