| 07-00367 | 10/12/2007 | Claimant(s): Stephen Clement
Claimant Lawyers(s): Stephen P. Clement
Respondent(s): Jon Newman
Respondent Lawyers(s): Andrew W. Bonekemper
Arbitrator(s): Ronnie Steinkoler, Paul Schiffres, Cynthia A. DiMarco
Hearing Site: New York, NY
|  | $0 |
| 07-00466 | 10/12/2007 | Claimant(s): Michael Airhart and Amy Airhart
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Jake Carriker, Riverstone Wealth Management.
Respondent Lawyers(s): John Courtade
Arbitrator(s): Steve R. Neuman, Kathy R. Holler, Robert P. Houston
Hearing Site: Houston, TX
| | $0 |
| 04-08311 | 10/11/2007 | Claimant(s): Prime Capital Services.
Claimant Lawyers(s): Ted Finkelstein
Respondent(s): David Conkling, Raymond Derobbio
Respondent Lawyers(s): John E. Lawlor, Ted Finkelstein
Arbitrator(s): Donald C. Geiszler, Robert E. Anderson, Harvey Casher
Hearing Site: New York, NY
| | |
| 06-05370 | 10/11/2007 | Claimant(s): Richard Case
Claimant Lawyers(s): William Lindsley
Respondent(s): Wachovia Securities, Terry Chase
Respondent Lawyers(s): Eric M. Steinert, G. Thomas Fleming
Arbitrator(s): Bert Levy, Richard J. Stall, Barton J. Brewer
Hearing Site: Los Angeles, CA
| | |
| 07-00292 | 10/11/2007 | Claimant(s): Thrivent Investment Management.
Claimant Lawyers(s): James K. Langdon
Respondent(s): Darrel Johnson, Gregory Nixon
Respondent Lawyers(s): John T. Palter
Arbitrator(s): Patricia J. Branco, C. Sumpter Logan, Ted Martin Akin
Hearing Site: Dallas, TX
| | |
| 07-01031 | 10/11/2007 | Claimant(s): Thomas Hulick
Claimant Lawyers(s): Paul Kroeger
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Marcie S. Mintz
Arbitrator(s): Harry Miller, Marvin B. Karelitz, Steven A. Wawra
Hearing Site: Los Angeles, CA
| | |
| 06-02898 | 10/11/2007 | Claimant(s): Ellen Gibson, Harry Gibson, Harry and Ellen Gibson Family Trust
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Thomas Gau, AIG Financial Advisors., Oregon Pacific Financial Advisors
Respondent Lawyers(s): Samuel Y. Edgerton
Arbitrator(s): Brian L. Spahr, Benjamin F. Breslauer, Frank L. Wolf
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 06-05403 | 10/11/2007 | Claimant(s): Elizabeth deStwollinski, Lance deStwolinski, Lance deStwolinski Revocable Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Michael P. Manly
Arbitrator(s): Rhonda S. McCarthy, Frederick S. Cassman, Lawrence P. McLellan
Hearing Site: Omaha, NE
| | $0 |
| 05-04046 | 10/10/2007 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): James Taylor
Respondent Lawyers(s): Charles W. Hill
Arbitrator(s): Richard L. Oates, E. Steve Scales, Lori Beth Kamen
Hearing Site: Memphis, TN
| | |
| 06-01929 | 10/10/2007 | Claimant(s): William Spina
Claimant Lawyers(s): William Joseph Spina
Respondent(s): Jerome Spina, Teton Partners
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): Joseph A. Cichon, Deborah B. Haskell, Maura Lenore Tomaszewski
Hearing Site: Boston, MA
| | |
