| 07-00170 | 12/11/2007 | Claimant(s): Edward McDonald
Claimant Lawyers(s): Kevin G. Diamond
Respondent(s): Paul Hess, Commonwealth Financial Network
Respondent Lawyers(s): Steven L. Manchel
Arbitrator(s): Gerard S. Marsan, Joseph Charles Kennedy, Richard D. Levin
Hearing Site: Boston, MA
|  | $0 |
| 07-00582 | 11/27/2007 | Claimant(s): Laura Hammond, Michael Hammond, Sports Etc II. Profit Sharing
Claimant Lawyers(s): Michael F. Hammond
Respondent(s): David Sidwell, John Riley, Morgan Stanley DW Inc., Citigroup Global Markets
Respondent Lawyers(s): Raul Sanchez, Susan Poder MacFarlane
Arbitrator(s): Byron Alexander Menides, Edward Joseph Boudreau, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
| 04-03792 | 11/20/2007 | Claimant(s): Vincent Zagami
Claimant Lawyers(s): Gerald A. Phelps
Respondent(s): Fredrick Sundin, William Dacey, Merit Capital Associates.
Respondent Lawyers(s): Kevin J. O'Connor, Philip M. Giordano, Robert Fitzpatrick
Arbitrator(s): Chesley Oriel, Leon E. Byng, Pran N. Tiku
Hearing Site: Boston, MA
| | $501 |
| 06-02538 | 10/31/2007 | Claimant(s): Bernard McDaniel
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Daniel Fais, Kevin Murphy, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Timothy F. Shanahan
Hearing Site: Boston, MA
| | Stipulated Award and Expungement |
| 06-04885 | 10/15/2007 | Claimant(s): Neil Roberts
Claimant Lawyers(s): Neil E. Roberts
Respondent(s): Citigroup Global Markets., Robert Snyder
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Harold N. Mack
Hearing Site: Boston, MA
| | $0 |
| 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 |
