| 07-00339 | 01/11/2008 | Claimant(s): Ann Stafford, James Stafford
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): William S. Port
Arbitrator(s): Leah A. Murray, Mark E. Kessinger, David B. Lacks
Hearing Site: St. Louis, MO
|  | $200,000 |
| 06-04988 | 01/10/2008 | Claimant(s): Michael Young
Claimant Lawyers(s): Michael R. Young
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): R. Stan Kramer Jr.
Arbitrator(s): Carolyn K. Balleisen
Hearing Site: Louisville, KY
| | |
| 07-00451 | 01/10/2008 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Peter Muer
Respondent Lawyers(s): Peter M. Muer
Arbitrator(s): Harvey Wayne
Hearing Site: Boca Raton, FL
| | |
| 07-00687 | 01/10/2008 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): William Vancleve
Respondent Lawyers(s): William Early Vancleve
Arbitrator(s): Mark I Preston, Simeon R. Trotter, Preston Deaton Rigsby
Hearing Site: Dallas, TX
| | |
| 07-00874 | 01/10/2008 | Claimant(s): Signal Securities.
Claimant Lawyers(s): Gilbert W. Boyce
Respondent(s): James Cowan, Wells Real Estate Funds
Respondent Lawyers(s): Hazel E. (Lynn) Norris, James Cowan
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
| | |
| 07-01174 | 01/09/2008 | Claimant(s): Laurie Lujan
Claimant Lawyers(s): Laurie Lujan
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Marcie S. Mintz
Arbitrator(s): Kelly A. Barker
Hearing Site: Los Angeles, CA
| | |
| 06-01589 | 01/08/2008 | Claimant(s): Timothy Martin
Claimant Lawyers(s): Timothy Martin
Respondent(s): Scott & Stringfellow
Respondent Lawyers(s): David E. Constine
Arbitrator(s): Francis M. Hall, John D. Robb, John Kevin Williams
Hearing Site: Richmond, VA
| | |
| 06-03670 | 01/08/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michae Hampton
Respondent Lawyers(s): Albert S. Watkins
Arbitrator(s): Thomas J. Ray, Bruce S. Feldacker, Jesse David Hill
Hearing Site: St. Louis, MO
| | |
| 04-05843 | 01/08/2008 | Claimant(s): Helen Wolff, The Helen Wolff Revocable Trust
Claimant Lawyers(s): Rosalind Robertson
Respondent(s): Ernest Caponegro, Herbert Kurinsky, Patrick Flanagan, Robert Rabinowitz, William Kurinsky, First Montauk Securities Corp.
Respondent Lawyers(s): Matthew Tracy, Vincent P. Pozzuto
Arbitrator(s): Robert A. Vaccaro, Michael S. Lazan, Howard A. Baker
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 07-00690 | 01/08/2008 | Claimant(s): Skips A/S Lodd
Claimant Lawyers(s): Conrad T. Gogstad
Respondent(s): Jason Pinsky, Harrison Securities.
Respondent Lawyers(s): Frederick Blumer, Michael Utilla
Arbitrator(s): Robert S. Getman
Hearing Site: New York, NY
| | $4,850 |
