| 04-08117 | 03/12/2008 | Claimant(s): Deborah A. and Nick C. Kreatsoulas
Claimant Lawyers(s): Reggie C. Giffin
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Jeffrey M. Bain, Robert G. Conway, Thomas R. Skulina
Hearing Site: Cleveland, OH
|  | $421,031 |
| 07-01002 | 12/19/2007 | Claimant(s): Beatrice Pautienis
Claimant Lawyers(s): Beatrice Pautienis
Respondent(s): Keybanc Capital Markets Inc.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Cleveland, OH
| | $0 |
| 06-03100 | 11/09/2007 | Claimant(s): Norman R. Burns, Norman R. Burns Trust
Claimant Lawyers(s): Jane Stafford
Respondent(s): Multi-Financial Securities Corp.
Respondent Lawyers(s): John Thomas
Arbitrator(s): Sanford Heiser, Joanne C. Brant, Michael Brian McCord
Hearing Site: Cleveland, OH
| | $0 |
| 07-00039 | 10/24/2007 | Claimant(s): Mary Patnik
Claimant Lawyers(s): Leonard W. Yelsky
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Michael A. Ungar
Arbitrator(s): Richard R. Edmister, Mark L. Ferris, Gary B. Deutsch
Hearing Site: Cleveland, OH
| | $0 |
| 05-05548 | 10/23/2007 | Claimant(s): Lewis Zipkin
Claimant Lawyers(s): Thomas C. Wagner
Respondent(s): Ernest Mishne, Oppenheimer & Co..
Respondent Lawyers(s): Todd A. Broski
Arbitrator(s): Frank C. Fogl, Terrence Patrick McHugh, I. Bernard Trombetta
Hearing Site: Cleveland, OH
| | Stipulated Award and Expungement |
| 04-05063 | 10/09/2007 | Claimant(s): Fanam
Claimant Lawyers(s): Louis F. Burke
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joshua R. Cohen
Arbitrator(s): Jeffrey M. Bain, Gary R. Miles, Mitchell B. Goldberg
Hearing Site: Cleveland, OH
| | $700,000 |
| 05-06621 | 09/17/2007 | Claimant(s): Vincent Sanalucia
Claimant Lawyers(s): Thomas C. Wagner
Respondent(s): Richard Ganim, Legacy Financial Services., Questar Capital Corporation
Respondent Lawyers(s): Joel Wertman, John P. Thomas, Robert J. Hanna
Arbitrator(s): Jeffrey M. Bain, Jason C. Blackford, Robert M. Shwab
Hearing Site: Cleveland, OH
| | $0 |
