| 07-01978 | 12/09/2008 | Claimant(s): Mondofin Inc., Mondofin Inc. No. 23, Mondofin Inc. No. 24, Mondofin Inc. No. 33
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Jonathan Robbins
Arbitrator(s): Alfred E. Monahan, Guenter S. Cohn, Gino Dante Serpe
Hearing Site: San Diego, CA
|  | $0 |
| 07-03470 | 12/02/2008 | Claimant(s): Daniel Hurley
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Mark Moskowitz, Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Mark J. Moskowitz
Arbitrator(s): Franklin G. Allen, James O. Johnson, Gino Dante Serpe
Hearing Site: San Diego, CA
| | $80,000 |
| 07-02717 | 11/20/2008 | Claimant(s): Kathryn Chapman, Ronald May
Claimant Lawyers(s): Thomas C. Frost
Respondent(s): Michael McClellanL fka Linsco/Private Ledger Corp.
Respondent Lawyers(s): Michael H. McClellan, Michael L. Kirby
Arbitrator(s): Joel C. Estes, Greta Glavis, Steven A. Fox
Hearing Site: San Diego, CA
| | $1,800,000 |
| 07-03120 | 09/12/2008 | Claimant(s): Anita Wood
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Lance Pelky, ING Financial Partners.
Respondent Lawyers(s): Sam Y. Edgerton
Arbitrator(s): Gunnar Thowsen, Erwin Jay Shustak, Sally G. Williams
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 06-02304 | 08/15/2008 | Claimant(s): Norman Hellerud
Claimant Lawyers(s): Patrick N. Keegan
Respondent(s): Bruce Oakes
Respondent Lawyers(s): Bruce D. Oakes
Arbitrator(s): Stephen R. Clark, James O. Johnson, Vytas Tarulis
Hearing Site: San Diego, CA
| | $0 |
| 06-05306 | 08/07/2008 | Claimant(s): Gustavo Vildosola Castro, Lorenza de Vildosola, Gustavo Vildosola & Lorenza Ramos de V
Claimant Lawyers(s): Richard A. Heller, Vincent D. Slavens
Respondent(s): Citigroup Global Markets., Juan Cabanas-Vildosola, UBS Financial Services Inc.
Respondent Lawyers(s): Gilbert R. Serota, Samuel A. Keesal
Arbitrator(s): Guenter S. Cohn, Doris V. Knotter, James Paul Estes
Hearing Site: San Diego, CA
| | $0 |
| 07-01930 | 07/18/2008 | Claimant(s): Allyn Pon
Claimant Lawyers(s): Vincent D. Slavens
Respondent(s): FIMAT USA
Respondent Lawyers(s): John W. Cotton
Arbitrator(s): James H. Bowersox, Ronald O. Bub, D. Brad Callen
Hearing Site: San Diego, CA
| | $0 |
| 07-03179 | 06/04/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Jim Madaffer
Respondent Lawyers(s): Jim Madaffer
Arbitrator(s): Evan A. Gould
Hearing Site: San Diego, CA
| | $0 |
| 07-03171 | 04/10/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): John Stein
Respondent Lawyers(s): John Stein
Arbitrator(s): Harvey C. Flodin
Hearing Site: San Diego, CA
| | $0 |
| 07-02329 | 03/25/2008 | Claimant(s): Dave Schutz
Claimant Lawyers(s): Steven M. Green
Respondent(s): Mark Gundy, A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Janice L. Sperow
Hearing Site: San Diego, CA
| | $425 |
