| 06-02775 | 09/07/2007 | Claimant(s):
Claimant Lawyers(s):
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s):
Hearing Site:
| | |
| 07-00175 | 09/07/2007 | Claimant(s): Edgar Barron
Claimant Lawyers(s): K. Michael Swann
Respondent(s): Colonial Brokerage.
Respondent Lawyers(s): Stanley E. Graham
Arbitrator(s): Robert L. Hudson, Michael D. Walsh, Joseph John Mantione
Hearing Site: Orlando, FL
| | |
| 07-00628 | 09/07/2007 | Claimant(s): Thomas Guerriero
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Mohamed Hussain
Respondent Lawyers(s): Mohamed Imran Hussain
Arbitrator(s): Edward Buscemi
Hearing Site: New York, NY
| | |
| 06-03867 | 09/07/2007 | Claimant(s): Alfonso Pena, Alfonso C. Pena 2004 Rev. Living Trust
Claimant Lawyers(s): Drew D. Hansen, Robert A. Uhl
Respondent(s): Donald Gloisten, Gerard Gloisten, GBS Advisors, GBS Financial Corp.
Respondent Lawyers(s): Ben Suter
Arbitrator(s): James H. Frank, Dean Schneider, Marc S. Joseph
Hearing Site: Los Angeles, CA
|  | $586,095 |
| 03-04728 | 09/07/2007 | Claimant(s): Amin Merchant, Apex Trading House
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Edward So, Charles Schwab & Co.., Prudential Equity Group
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Jarrott T. Miller, Richard L. Rubin, Mario Henry Barsotti
Hearing Site: San Francisco, CA
| | $0 |
| 05-04867 | 09/06/2007 | Claimant(s): Joseph Hinkley
Claimant Lawyers(s): Leon J. Greenspan
Respondent(s): Clifford Reid, Edward Rudiger, Marc Harrison, Reid & Rudiger
Respondent Lawyers(s): Joel Forman
Arbitrator(s): Robert L. Chase, Blossom Nicinski, Bernard Rosen
Hearing Site: New York, NY
| | |
| 06-04210 | 09/05/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas Volz
Respondent(s): Javier Ruedas
Respondent Lawyers(s): Dean R. Kitano
Arbitrator(s): Robert D. Sussin, Blaine Smith, Dennis A. Torres
Hearing Site: Los Angeles, CA
| | |
| 03-08225 | 09/05/2007 | Claimant(s): Jeff Karnes, Jeremy Voye, Sarah Hedges
Claimant Lawyers(s): Amir H. Tadjedin
Respondent(s): Citigroup Global Markets., Jack Grubman, Kevin Keating
Respondent Lawyers(s): Nancy E. Nunan
Arbitrator(s): Marshall Passman, Louis Nebel
Hearing Site: Washington, DC
| | Stipulated Award and Expungement |
| 06-02362 | 09/05/2007 | Claimant(s): Ruth Barden-Whitlow
Claimant Lawyers(s): Gregory S. Larsen
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Gordon F. Linke, Henry G. Plaster, Marvin P. Pastel
Hearing Site: Norfolk, VA
| | $42,000 |
| 06-01546 | 09/05/2007 | Claimant(s): Eric Ginzburg
Claimant Lawyers(s): Eric J. Ginzburg
Respondent(s): Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Scott M. Krantz, Donald W. McKenzie, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | $0 |
