| 05-06316 | 11/27/2007 | Claimant(s): Charles Goldschmidt, David Price, Howard Asher, Ledlie Borgerhoff, Robert Eickholt, Ronald Cook, Terry McSweeney, IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S Clareman
Arbitrator(s): Clifford A. Harwick, Daniel A. Pinkus, Joseph F. Grassi
Hearing Site: New York, NY
|  | Stipulated Award |
| 06-02936 | 11/15/2007 | Claimant(s): James F. Riley, IRA
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Patricia Meidell, Associated Securities Corp.
Respondent Lawyers(s): Neil Baritz
Arbitrator(s): Merrill Dean Taylor, Paul E. Dahlman, William Patterson Cashill
Hearing Site: Reno, NV
| | $605,090 |
| 07-01359 | 11/02/2007 | Claimant(s): Michael and Helene Sabin, IRA
Claimant Lawyers(s): M. David Sayid
Respondent(s): Basic Investors Inc.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Diane Getzler
Hearing Site: New York, NY
| | $213 |
| 06-02742 | 10/19/2007 | Claimant(s): Robert Sam, North Star Basements., Karen K. Auksi-Sam, IRA
Claimant Lawyers(s): Robert Sam
Respondent(s): Edward Jones
Respondent Lawyers(s): Loren Schechter
Arbitrator(s): Ann Breen-Greco, David E. Neely, Lisa A Randall-Haag
Hearing Site: Chicago, IL
| | $0 |
| 06-00122 | 09/24/2007 | Claimant(s): Donchee Lin, IRA
Claimant Lawyers(s): Donchee Lin
Respondent(s): Weiming Ho, Integral Financial LLC
Respondent Lawyers(s): Weiming Ho
Arbitrator(s): Herbert Liberman, Peter H. Daly, David Edward Canter
Hearing Site: San Francisco, CA
| | $38,210 |
| 06-02945 | 09/20/2007 | Claimant(s): David Peterson, IRA, David and Grace Peterson
Claimant Lawyers(s): Jeffrey J. Lowe
Respondent(s): A.G. Edwards & Sons., William Ferry
Respondent Lawyers(s): William Patrick Ferry, William S. Port
Arbitrator(s): Michael L. Lyons, Edward C. Lawrence, Richard D. Link
Hearing Site: St. Louis, MO
| | $5,600 |
