| 06-05397 | 02/22/2008 | Claimant(s): Leona Levitan, Arleen Bernstein, etal.
Claimant Lawyers(s): Scott M. Zucker
Respondent(s): Daniel OShea, David Pike, Douglas Damrow, Prudential Equity Group
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): Guy K. Stewart, Sydney I. Josepher, Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
|  | Stipulated Award and Expungement |
| 07-00798 | 02/13/2008 | Claimant(s): John Egri
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Arthur Lewis, CIBC World Markets Corp., Jeff Bank, Susan Sutherland
Respondent Lawyers(s): Lloyd S. Clareman, Matthew N. Thibaut
Arbitrator(s): Lawrence M. Green, Mark I. Scheinbaum, Will Murphy
Hearing Site: Boca Raton, FL
| | $38,782 |
| 05-06708 | 02/08/2008 | Claimant(s): William Strawbridge
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Alfred Osgood, Ferris, Baker Watts
Respondent Lawyers(s): Gilbert W. Boyce, Jennifer M. Blunt
Arbitrator(s): David P. Slater, Jay L. Valinsky, Dione E. Houchins
Hearing Site: Boca Raton, FL
| | $0 |
| 06-05049 | 01/29/2008 | Claimant(s): Stephan Rupp, Professional Investment Group
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Brian Herman, Jay Noiman, Sean Callahan, Viewtrade Securities,.
Respondent Lawyers(s): Eugene Michael Kennedy
Arbitrator(s): R. Christopher Laux, Lawrence S. Silver, Peter A. Portley
Hearing Site: Boca Raton, FL
| | $25,000 |
| 07-02263 | 01/23/2008 | Claimant(s): Lorraine Ecker and Warren Ecker
Claimant Lawyers(s): Lorraine Ecker
Respondent(s): Wachovia Securities
Respondent Lawyers(s): David J. Rice
Arbitrator(s): Stan West
Hearing Site: Boca Raton, FL
| | $163 |
| 06-05283 | 12/26/2007 | Claimant(s): Lafise Valores Santo Domingo, S.A.
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Stanford Group Company
Respondent Lawyers(s): Ronald Shindler
Arbitrator(s): Allen J. Kaplan, Patricia J. Murphy, Dale W. Oliver
Hearing Site: Boca Raton, FL
| | $297,000 |
| 06-04316 | 12/12/2007 | Claimant(s): Yan Zhao, Amicorp Development, Ltd., Essence City, Ltd, Precise Power Holdings
Claimant Lawyers(s): General Counsel, Yan Hong Zhao
Respondent(s): Capital Growth Financial
Respondent Lawyers(s): Jason Gordon
Arbitrator(s): Marc Scott Shapiro, Ted Romanos, Martin M. Van Luven
Hearing Site: Boca Raton, FL
| | $0 |
| 06-04130 | 12/06/2007 | Claimant(s): Estate of Harriet H. Dublon
Claimant Lawyers(s): Jack Scarola
Respondent(s): Ronnie Flint
Respondent Lawyers(s): Ronnie W. Flint - K70204/1106u
Arbitrator(s): Seth L. Finkel, Richard Anthony Jannuzzi, Sandra J. Bakalus
Hearing Site: Boca Raton, FL
| | $0 |
| 06-02323 | 12/04/2007 | Claimant(s): Milton and Blanche Wasserburger
Claimant Lawyers(s): Jeffrey Sonn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kent B. Frazer
Arbitrator(s): David W. Newman, Syma S. Kasdin, Eugene J. Koalkin
Hearing Site: Boca Raton, FL
| | $97,424 |
| 06-04414 | 11/21/2007 | Claimant(s): Rosalind Drabin, Henry and Rosalind Drabin
Claimant Lawyers(s): Scott L. Silver
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): April M. Chung
Arbitrator(s): Melvin Jarolem, Raymond W. Snow, Mauricio Arcadier
Hearing Site: Boca Raton, FL
| | $571,495 |
