| 07-01358 | 09/21/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joan Toro
Respondent(s): Elmer Johnson
Respondent Lawyers(s): Elmer Johnson
Arbitrator(s): Sally Phillips Pasette
Hearing Site: Seattle, WA
|  | $0 |
| 05-06369 | 09/21/2007 | Claimant(s): Davenport Alley Partnership
Claimant Lawyers(s): Steven S. Biss
Respondent(s): National Securities Corporation, Steve Taton
Respondent Lawyers(s): Mark Roth, William G. Shields
Arbitrator(s): Anne W. Larkin, Emerson R. Marks, W. Scott Greco
Hearing Site: Richmond, VA
| | $0 |
| 07-01436 | 09/20/2007 | Claimant(s): McGinn Smith & Co..
Claimant Lawyers(s): Joseph B. Carr
Respondent(s): Derek Paulsen, Seth Stone
Respondent Lawyers(s): Derek Douglas Paulsen, Seth Michael Stone
Arbitrator(s): Frank Irizarry
Hearing Site: Albany, NY
| | |
| 07-01622 | 09/20/2007 | Claimant(s): IFMG Securities., IFS AGencies., Independent Financial Marketing Group
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Michael Woodman
Respondent Lawyers(s): Gary C. Crossen
Arbitrator(s): Charles A. Goglia, Robert V. Deiana, Laura M. Nelson
Hearing Site: Boston, MA
| | |
| 06-02945 | 09/20/2007 | Claimant(s): David Peterson, IRA, David and Grace Peterson
Claimant Lawyers(s): Jeffrey J. Lowe
Respondent(s): A.G. Edwards & Sons., William Ferry
Respondent Lawyers(s): William Patrick Ferry, William S. Port
Arbitrator(s): Michael L. Lyons, Edward C. Lawrence, Richard D. Link
Hearing Site: St. Louis, MO
| | $5,600 |
| 05-04204 | 09/20/2007 | Claimant(s): Duane V. Murff, Sr.
Claimant Lawyers(s): Michael Hufft
Respondent(s): Mark Harris, Banc of America Investment Services Inc.
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): James C. Morrow, John W. Jones, Sherry L. Robinson
Hearing Site: Kansas City, MO
| | $0 |
| 07-00725 | 09/20/2007 | Claimant(s): Pat Selman
Claimant Lawyers(s): Robert S. Banks
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Gordon MacMillan
Hearing Site: Portland, OR
| | $0 |
| 06-03781 | 09/19/2007 | Claimant(s): Ronald Zander
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Samuel Solomon, Solomon Advisors
Respondent Lawyers(s): Samuel P. Solomon
Arbitrator(s): Dolores M Martin, J. Ken Lanyon, Catherine M. Norman
Hearing Site: Dallas, TX
| | $120,500 |
| 05-06393 | 09/19/2007 | Claimant(s): Ernest S. Matthews
Claimant Lawyers(s): Christopher M. Pilkerton
Respondent(s): John Lowe, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): William S. Tagerman, Arnold M. Marrow, Michael Jay Rich
Hearing Site: Boston, MA
| | $0 |
| 06-04315 | 09/19/2007 | Claimant(s): John Knaub, Lonita Knaub
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): ProEquities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): David M. Snyder, Darryl C. Wilson, Robert Giffen Collins
Hearing Site: Tampa, FL
| | $300 |
