07-00924 | 11/19/2007 | Claimant(s): The Frank Family Limited Partnership Claimant Lawyers(s): Steven Frank Respondent(s): Young, Stovall and Company Respondent Lawyers(s): Maria Flynn, Senior Vice President Arbitrator(s): Cheryl H. Agris Hearing Site: New York, NY
| | $9,337 |
04-00850 | 11/16/2007 | Claimant(s): Dane Faber Claimant Lawyers(s): Phyllis E. Andelin Respondent(s): Carl Martellaro, First Securities USA., C. Martellaro TTEE First Securities Respondent Lawyers(s): H Thomas Fehn, Ken Baker Arbitrator(s): Laura Effel, Jeffrey M. Allen, Joseph M. O'Connor Hearing Site: San Francisco, CA
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05-00185 | 11/16/2007 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Brian C. Free Respondent(s): Donald Popkes Respondent Lawyers(s): Donald L. Popkes Arbitrator(s): Milton C. Bennett Hearing Site: Los Angeles, CA
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07-00450 | 11/16/2007 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings Claimant Lawyers(s): W. Jerad Rissler Respondent(s): James Bell Respondent Lawyers(s): Walter Jefferson Arbitrator(s): Thomas A. Martin, Bertrand C. Moser, Joshua D. Wallach Hearing Site: Houston, TX
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07-01321 | 11/16/2007 | Claimant(s): Harris Investor Services. Claimant Lawyers(s): Cindy S. Stuyvesant Respondent(s): Ryan Connelly, Steven Zimmerman Respondent Lawyers(s): Tiffany C. Woodie Arbitrator(s): Marc B. Horin, David G. Duggan, James A. Murphy Hearing Site: Chicago, IL
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07-01462 | 11/16/2007 | Claimant(s): Pointe Capital. Claimant Lawyers(s): Daniel R Levene Respondent(s): Craig Redding Respondent Lawyers(s): Craig Steven Redding Arbitrator(s): Matthew Loguercio Hearing Site: New York, NY
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07-01644 | 11/16/2007 | Claimant(s): Joseph Padilla Claimant Lawyers(s): Irving M. Einhorn Respondent(s): Empire Financial Group. Respondent Lawyers(s): Gary A. Klein Arbitrator(s): Luther Delano Prater, David Maurer, Paul Frederick Meyer Hearing Site: Los Angeles, CA
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06-04052 | 11/16/2007 | Claimant(s): John Ramsey Claimant Lawyers(s): James P. Graven Respondent(s): Edward Jones Respondent Lawyers(s): Lisa A. Nielsen Arbitrator(s): Beth Schmidt, Fred J. Naffziger, Stephen C. Cline Hearing Site: Indianapolis, IN
| | $85,000 |
06-05145 | 11/16/2007 | Claimant(s): Catherine Henderson Claimant Lawyers(s): Philip J. Snyderburn Respondent(s): Suntrust Securities. Respondent Lawyers(s): Richard H. Bergman Arbitrator(s): V. Michael Pabalis, Michael D. Walsh, Lauren S. Puritz Hearing Site: Orlando, FL
| | $43,703 |
07-01186 | 11/16/2007 | Claimant(s): William Westerman Claimant Lawyers(s): William H. Westerman Respondent(s): Wachovia Securities Respondent Lawyers(s): David J. Rice Arbitrator(s): Edward J. Vaia Hearing Site: Tampa, FL
| | $88 |