| 07-00957 | 07/15/2008 | Claimant(s): Robert Harth, Trustee for Elizabeth Ha
Claimant Lawyers(s): Edward J. Dimon
Respondent(s): Charles Faig, Wachovia Securities, Herbert Roemmele, Trina Mitsch
Respondent Lawyers(s): Ryan P. Smith
Arbitrator(s): Vernon C. Walker, Dennis C. Meyerson, E. William Pastor
Hearing Site: Philadelphia, PA
|  | Stipulated Award and Expungement |
| 07-03201 | 06/10/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Barry Brinster
Respondent Lawyers(s): Barry Brinster
Arbitrator(s): Paul J. Greco
Hearing Site: Philadelphia, PA
| | $0 |
| 06-00091 | 02/11/2008 | Claimant(s): Barbara Delashmitt
Claimant Lawyers(s): David C. Harrison
Respondent(s): Barry MacNeal, David Lamb, BestVest Investment Brokerage Services, MacNeal Associates
Respondent Lawyers(s): Nicholas J. Guiliano
Arbitrator(s): Vincent P. Sarnatora, Kathleen K. Murphy, Robert T. Kelly
Hearing Site: Philadelphia, PA
| | $0 |
| 07-00121 | 02/04/2008 | Claimant(s): Erich Klein
Claimant Lawyers(s): Frederick J. Lanshe
Respondent(s): Douglas Woolley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Olney
Arbitrator(s): Joseph L. Farrell
Hearing Site: Philadelphia, PA
| | $0 |
| 05-01363 | 01/30/2008 | Claimant(s): Donna Bell, Harry Culbreath, Ben Miller Irrevocable Trust
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Foresters Equity Services.
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Kathleen K. Murphy, Joel D. Feldman, Catherine S. Kopley
Hearing Site: Philadelphia, PA
| | $0 |
| 05-02755 | 01/23/2008 | Claimant(s): Eden Ginn UGMA/PA, Michael Ginn, IRA, Alison and Michael Ginn, Michael Ginn DDS PC Pension Plan, Michael Ginn Profit Sharing Plan
Claimant Lawyers(s): Sidney L. Gold
Respondent(s): Morgan Stanley DW Inc., Marque Cohen, Dean Witter Reynolds Inc., Morgan Stanley Dean Witter & Co
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Edward T. Borer, Robert F. Sanville, Richard E. Lerner
Hearing Site: Philadelphia, PA
| | Stipulated Award and Expungement |
| 06-04865 | 12/10/2007 | Claimant(s): Kenneth Fitzpatrick
Claimant Lawyers(s): Kenneth J. Fitzpatrick
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Donald P. Wray
Arbitrator(s): Lewis R. Jaffe, George Reath, Neale Clark Bringhurst
Hearing Site: Philadelphia, PA
| | $0 |
| 06-02594 | 12/06/2007 | Claimant(s): Louie Kau Wang and June Ting Wang
Claimant Lawyers(s): Joseph F. Kornicki
Respondent(s): Howard Moses, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Jim Geiger, Steven T. Stern, Richard Frank Colello
Hearing Site: Philadelphia, PA
| | $0 |
| 05-02521 | 10/18/2007 | Claimant(s): Brenda Caswell, Gail Carlson, George Finkbiner, Herbert Hansen, Jane Hoffman, Jane Kercheval, Joyce Alo, Kendall Kelly, Kenneth Caswell, Margaret Huyler, Marguerite Edwards, Ralph Carlson, Rosemary O'Donnell, Earl Kercheval, Elizabeth Hansen, Estate of Eileen McCardle, Antonio and Bernardina Augusto, Frederick and Diane Burmeister, Harold and Janet Bennett, Davison Rugs Profit Sharing Trust
Claimant Lawyers(s): Brian A. Carlis, Richard D. DeVita
Respondent(s): Royal Alliance Associates., Comprehensive Asset Mgmt and Servicing
Respondent Lawyers(s): Brian A. Carlis, Erika L. Altman
Arbitrator(s): Ronnie Edward Nichols, Robert T. Kelly, Suzanne Levin Wolfson
Hearing Site: Philadelphia, PA
| | $125,423 |
| 05-04702 | 09/27/2007 | Claimant(s): Anthony Petchalonis
Claimant Lawyers(s): Barry H. Dyller
Respondent(s): Gary Crisci, Merrill Lynch Pierce Fenner & Smith Inc., Scott Hartshorn
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Blaine S. Greenfield, Michael D. Neft, Nickolas F. Monteforte
Hearing Site: Philadelphia, PA
| | $0 |
