| 03-05275 | 12/19/2008 | Claimant(s): Joseph Webber
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Diana A. Weiner
Hearing Site: Tampa, FL
|  | $12,344 |
| 06-03938 | 11/21/2008 | Claimant(s): Estate of Ellen Tangeman Murphy
Claimant Lawyers(s): S. David Anton
Respondent(s): Jeffrey Dunham, Dunham and Associates Investment Assoc
Respondent Lawyers(s): Adam R. Alaee, Joseph D. Edmondson
Arbitrator(s): Donald R. Ormrod, Diana A. Weiner, Ken Ziesenheim
Hearing Site: Tampa, FL
| | $0 |
| 07-01743 | 11/05/2008 | Claimant(s): General Investments.
Claimant Lawyers(s): Thomas D. Jackson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Diana A. Weiner, Gail E. Sasnett-Stauffer, Marshal H. Emerson
Hearing Site: Tampa, FL
| | $0 |
| 07-02494 | 10/07/2008 | Claimant(s): John Gentis
Claimant Lawyers(s): Michael C. Addison
Respondent(s): ING America Equities.
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): Paul Sidney Elliott, JD, William R. Turner, Stephen Earl Clark
Hearing Site: Tampa, FL
| | $100 |
| 07-02242 | 06/23/2008 | Claimant(s): Edward Bagley
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Max Assenheimer, Northeast Securities.
Respondent Lawyers(s): Adam S. Tanenbaum
Arbitrator(s): Don Muyskens, William J. Schifino, Jason S. Thackeray
Hearing Site: Tampa, FL
| | $100,000 |
| 07-01446 | 05/21/2008 | Claimant(s): Susan Greco, IRA
Claimant Lawyers(s): C. Richard Mancini
Respondent(s): Kovack Securities.
Respondent Lawyers(s): Scott A. Bassman
Arbitrator(s): John P. Cullem, Langfred W. White, Arthur J. Zelenak
Hearing Site: Tampa, FL
| | $91,815 |
| 06-03270 | 03/10/2008 | Claimant(s): Russell Dewing
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): John P. Cullem, Beverly S. Gordon, Robert Stephen Burns
Hearing Site: Tampa, FL
| | $75,000 |
| 07-00987 | 02/01/2008 | Claimant(s): Joan Reid, Lawrence Juette, Linda Shirar, Lois Salaun, Richard McDonald, Roger Spinks, Stephen Salaun, Estate of Gary Driftmeyer, Timothy Drenth & Karen Driftmyer Drent, Joan B. Reid Rev. Living Tust dtd 10/02
Claimant Lawyers(s): Nicholas J. Taldone
Respondent(s): Joseph Karcagi, Robert Humak
Respondent Lawyers(s): Joseph Karcagi, Robert Humak
Arbitrator(s): William H. Fleece, Fred A. Forbes, Brendan M. Murphy
Hearing Site: Tampa, FL
| | $348,447 |
| 07-02249 | 01/17/2008 | Claimant(s): Kenneth Hughes
Claimant Lawyers(s): Russell Waxman
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Christopher J. Gawley
Arbitrator(s): Mark M. Mercier, Richard Hoffman, Charlotte F. Abington
Hearing Site: Tampa, FL
| | $0 |
| 07-01186 | 11/16/2007 | Claimant(s): William Westerman
Claimant Lawyers(s): William H. Westerman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): David J. Rice
Arbitrator(s): Edward J. Vaia
Hearing Site: Tampa, FL
| | $88 |
