| 06-03048 | 12/24/2007 | Claimant(s): Adam Aspes, Catherine Lesterhuis, Curtis Thompson, Jacob Morton, Scott Hootman
Claimant Lawyers(s): Latanishia D. Watters
Respondent(s): Brian Foley, Daniel Joyce, Michael Braun, William Devin Jr., Moor & Cabot Inc., Sal Financial Services., d/b/a Ster, Sterne Agee Capital Markets., Sterne, Agee & Leach.
Respondent Lawyers(s): Latanishia D. Watters, Sander A. Rikleen
Arbitrator(s): Paul J. Camilleri, David Finnegan, John F. Duane
Hearing Site: New York, NY
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| 05-04639 | 12/21/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): William W. Allen
Respondent(s): David Pennington, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Davidson, Russell Sayre
Arbitrator(s): Amelia F. Adams, Carolyn K. Balleisen, John D. Robb
Hearing Site: Louisville, KY
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| 07-01635 | 12/21/2007 | Claimant(s): Michael Pata, Steven Dubinsky
Claimant Lawyers(s): Michael Pata, Steven Dubinsky
Respondent(s): Institutional Equity Corporation
Respondent Lawyers(s): Jeffrey Michel
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
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| 06-00700 | 12/20/2007 | Claimant(s): Dennis Metter, Donald Metter
Claimant Lawyers(s): Paula K. Maguire
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Jennifer R. Seltenrich
Arbitrator(s): Victor Elting, Thomas F. Ryan, Jeffrey L. Durkes
Hearing Site: Chicago, IL
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| 05-03814 | 12/19/2007 | Claimant(s): Arthur Kieval
Claimant Lawyers(s): David L. Ward
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): James Mervin Benson, Frank M. Romano, Eli Bensky
Hearing Site: Houston, TX
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| 06-05022 | 12/19/2007 | Claimant(s): Advest.
Claimant Lawyers(s): Mark P. Harbison
Respondent(s): Edward Wetzel, Jeffrey Kelley
Respondent Lawyers(s): Joseph William Conway
Arbitrator(s): Carl Hohnbaum, David J. Capriotti, Ralph H. Phillips
Hearing Site: Pittsburgh, PA
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| 06-05029 | 12/19/2007 | Claimant(s): Advest.
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Jeffrey Kelley
Respondent Lawyers(s): Joseph William Conway
Arbitrator(s):
Hearing Site: Pittsburgh, PA
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| 07-01964 | 12/19/2007 | Claimant(s): Americo Santella
Claimant Lawyers(s): Samuel E. Cohen
Respondent(s): Sparkle Martin
Respondent Lawyers(s): Lawrence Solomon
Arbitrator(s): Edward T. Borer, Patrick J. O'Neil, Frank P. Santangelo
Hearing Site: Philadelphia, PA
| | Expungement |
| 03-06793 | 12/18/2007 | Claimant(s): McLaughlin, Piven, Vogel Securities
Claimant Lawyers(s): Mark G. Vaughan
Respondent(s): Jimmie Griffith
Respondent Lawyers(s): Tania Rose
Arbitrator(s): Thomas D. Reese, William J. Petzel, Sean B. Meehan
Hearing Site: San Francisco, CA
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| 07-00015 | 12/18/2007 | Claimant(s): SunTrust Banks., Suntrust Capital Markets., Suntrust Investment Services.
Claimant Lawyers(s): Nathan L. Garroway
Respondent(s): Gary Brochin
Respondent Lawyers(s): Jason W. Graham
Arbitrator(s): James G. Killough, Irving M. Shlesinger, Bernard Leroy Lynch
Hearing Site: Atlanta, GA
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