| 07-00383 | 08/22/2007 | Claimant(s): Chizuko Shahzad and Syed Mobin Shahzad
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): James H. Bowersox
Hearing Site: San Diego, CA
|  | $213 |
| 07-00818 | 08/22/2007 | Claimant(s): David Sepanik, Mary Sepanik
Claimant Lawyers(s): David Edward Sepanik, Mary Ann Sepanik
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Stewart C.W. Weiner
Hearing Site: Detroit, MI
| | $325 |
| 06-00535 | 08/20/2007 | Claimant(s): Robert Dentice
Claimant Lawyers(s): Howard S. Meyers
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Jay S. Berke
Arbitrator(s): Joseph J. Leegan, Sanford S. Stevens, Russell Stine Heckler
Hearing Site: New York, NY
| | |
| 06-03185 | 08/20/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Elias Lopez-Hakimian
Respondent Lawyers(s): Daniel L. Hitzke
Arbitrator(s): Dennis A. Torres, Robert C. Albini, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
| | |
| 07-00817 | 08/20/2007 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings.
Claimant Lawyers(s): Gregory R. Crochet
Respondent(s): William Evans
Respondent Lawyers(s): William Dexter Evans
Arbitrator(s): Barbara Marie Bantivoglio
Hearing Site: Columbia, SC
| | |
| 07-00567 | 08/20/2007 | Claimant(s): Quinn R. and Ann D. Owen JTWROS
Claimant Lawyers(s): Quinn R. Owen
Respondent(s): Brian Sanders, Christopher Atteo, Clayton Sontag
Respondent Lawyers(s): Christopher B. Atteo, Norman B. Arnoff
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
| | Expungement |
| 06-03416 | 08/17/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Alan Wise
Respondent Lawyers(s): Alan K. Wise
Arbitrator(s): Larry Haugaard, James P. Murphy, Ivan Claman
Hearing Site: Los Angeles, CA
| | |
| 05-01456 | 08/17/2007 | Claimant(s): Victoria Landseadal
Claimant Lawyers(s): David M. Gilmore
Respondent(s): Victor Tokach, E.S. Hope Financial
Respondent Lawyers(s): Victor Tokach
Arbitrator(s): John C. Lees, Peter D. Brennan, Michael D. Briggs
Hearing Site: San Diego, CA
| | $18,972 |
| 06-03551 | 08/17/2007 | Claimant(s): Amy Bakowski
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Broad Street Securities., Leonard & Company, McClellan Capital
Respondent Lawyers(s): David A. Sebastian, Stephen B. Wexler, The Company President
Arbitrator(s): Norman A. Samson, Mark Scarr, Lee Hornberger
Hearing Site: Detroit, MI
| | $0 |
| 07-00385 | 08/17/2007 | Claimant(s): Ana Vasquez
Claimant Lawyers(s): Ricardo A. Bracamonte
Respondent(s): Chase Investment Services Corp., J.P. Morgan Securities Inc
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Howard W. Shannon, Joe S. Tarrer, Linda M. Parker
Hearing Site: Phoenix, AZ
| | $0 |
