| 05-01488 | 10/26/2007 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Anthony DeMarco
Respondent Lawyers(s): Grover S. Parnell
Arbitrator(s): Sandor I. Rabkin, Allan E. Johnson
Hearing Site: Boston, MA
| | |
| 06-01430 | 10/26/2007 | Claimant(s): Anthony Tango
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Harry D. Frisch, Joseph B. Russell, Howard W. Hirschhorn
Hearing Site: Newark, NJ
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| 06-04810 | 10/26/2007 | Claimant(s): Matthew Mullane
Claimant Lawyers(s): Daniel S. Newman
Respondent(s): Tower Square Securities.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): David H. S. Commins
Hearing Site: San Francisco, CA
| | |
| 07-00265 | 10/26/2007 | Claimant(s): Heather Asbell
Claimant Lawyers(s): Jonathan Jackson Pledger
Respondent(s): W. O'Rear, Woodbury Financial Services.
Respondent Lawyers(s): Jane Crisp, Paul A. Fischer
Arbitrator(s): John C. West
Hearing Site: Nashville, TN
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| 07-00510 | 10/26/2007 | Claimant(s): Eddie Miller
Claimant Lawyers(s): Eddie Lee Miller
Respondent(s): PNC Investments
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Lawrence Reginald Wagner, Gary P. Price, Jan M. West
Hearing Site: Louisville, KY
| | |
| 06-04128 | 10/26/2007 | Claimant(s): Herbert Kinman
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien
Arbitrator(s): Bill Swinford, Gorman Jones Roberts, Anthony G. Belak
Hearing Site: Louisville, KY
|  | $0 |
| 01-03420 | 10/25/2007 | Claimant(s): Money Concepts Capital Corporation, Money Concepts International.
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Mamdoh Abas, ProEquities.
Respondent Lawyers(s): Mark Abas, Peter E. Romo
Arbitrator(s): Howard A. Emirhanian, Herbert Murez, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | |
| 06-05318 | 10/25/2007 | Claimant(s): Ann Serrato
Claimant Lawyers(s): Michael C. Deutsch
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Jerry H. Friedland, Richard I. Topus, Barbara Mark-Dreyfuss
Hearing Site: Phoenix, AZ
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| 07-01805 | 10/25/2007 | Claimant(s): H.D. Vest Investment Securities.
Claimant Lawyers(s): Thomas F. Kopshever
Respondent(s): Charles Van Dyke, Van Dyke Family Trust
Respondent Lawyers(s): Charles R. Van Dyke
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | $0 |
| 04-00832 | 10/25/2007 | Claimant(s): Georgette Amato, Joseph Amato, JJR Realty Co.
Claimant Lawyers(s): Monica E. De Los Rios
Respondent(s): Joseph Berkery, Merrill Lynch Pierce Fenner & Smith Inc., Mike Leber
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Dennis C. Meyerson, Frank Irizarry, Allen D. Unterweiser
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
