| 07-00812 | 11/01/2007 | Claimant(s): John Amon
Claimant Lawyers(s): John I. Amon
Respondent(s): Tom Moriarty, Vic Hobson, Intersecurities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Thomas W. Steed, Wayne Parker, William A. Collison
Hearing Site: Raleigh, NC
| | |
| 06-05018 | 11/01/2007 | Claimant(s): Est. of D. Cermak, Patricia Prinds, Exe
Claimant Lawyers(s): Barry D. Estell
Respondent(s): Douglas Hemke, First Midamerica Investment Corp.
Respondent Lawyers(s): Jeffrey Jamieson
Arbitrator(s): Keith U. Martin, David A. Nixon, Michael J. Hunter
Hearing Site: Kansas City, MO
|  | $230,000 |
| 07-00805 | 11/01/2007 | Claimant(s): Scottrade.
Claimant Lawyers(s): Thomas L. Azar
Respondent(s): John Gott
Respondent Lawyers(s): John C. Gott
Arbitrator(s): Kathy R. Holler, Lynne M. Gomez, David C. Redford
Hearing Site: Houston, TX
| | $0 |
| 04-02939 | 10/31/2007 | Claimant(s): Pro-Integrity Securities.
Claimant Lawyers(s): William Perry
Respondent(s): Jeffrey Rubin
Respondent Lawyers(s): Jeffrey S. Rubin
Arbitrator(s): James A. Mullin, Lucia A. Aschettino, W. Jeffrey Weinlandt
Hearing Site: New York, NY
| | |
| 07-00240 | 10/31/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Lawrence Scoloveno
Respondent Lawyers(s): Lawrence D. Scoloveno
Arbitrator(s): Sandralin J. Kiss, Virginia Kali Sourlis, Stanley M. Lenkowicz
Hearing Site: Newark, NJ
| | |
| 05-04618 | 10/31/2007 | Claimant(s): Donna Perlmutter, Jona Perlmutter, Perlmutter Family Trust
Claimant Lawyers(s): Loren J. Beck
Respondent(s): Roth Capital Partners
Respondent Lawyers(s): Momo E. Takahashi
Arbitrator(s): J. Jean Elliott, Thomas A. Culbertson, Henry Marris Wollman
Hearing Site: Los Angeles, CA
| | $93,681 |
| 06-02538 | 10/31/2007 | Claimant(s): Bernard McDaniel
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Daniel Fais, Kevin Murphy, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Timothy F. Shanahan
Hearing Site: Boston, MA
| | Stipulated Award and Expungement |
| 06-03942 | 10/31/2007 | Claimant(s): The Estate of Sydney G. Smith, Jr.
Claimant Lawyers(s): Bradley R. Hoyt
Respondent(s): Raffi Oghlian, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, Raffi Oghlian
Arbitrator(s): Amelia F. Adams, Stuart Arthur Reagan, Peter F. von Meister
Hearing Site: Cincinnati, OH
| | $30,000 |
| 07-01211 | 10/31/2007 | Claimant(s): Norman Foster
Claimant Lawyers(s): Norman A. Foster
Respondent(s): Edward Jones
Respondent Lawyers(s): Lynette D. McCloud
Arbitrator(s): Donald H. Loudon
Hearing Site: Kansas City, MO
| | $13,307 |
| 07-01600 | 10/31/2007 | Claimant(s): Patricia Slatten
Claimant Lawyers(s): Clell I. Cunningham
Respondent(s): Brandy Barnes, Bosc.
Respondent Lawyers(s): Paul DeMuro
Arbitrator(s): Robert Steven Haught
Hearing Site: Oklahoma City, OK
| | $213 |
