| 07-01788 | 09/15/2008 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Harry Friedman, Sloan Securities Corp.
Respondent Lawyers(s): Brian H. Reis, Robert K. Ross
Arbitrator(s): Richard E. Lerner, Edward L. Levine, Jeffrey H. Rosenthal
Hearing Site: Newark, NJ
|  | $136,780 |
| 06-02002 | 08/12/2008 | Claimant(s): Juluru Rao
Claimant Lawyers(s): Kim Steven Juhase
Respondent(s): Mark Ketner, Investec Ernest & Company
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Sandralin J. Kiss, Renee S. Rothschild, Sharon A. McCloskey
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 08-00746 | 08/11/2008 | Claimant(s): Edwin Lee, Michelle Lee
Claimant Lawyers(s): Edwin Lee
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Charles Ajamian
Hearing Site: Newark, NJ
| | $1,233 |
| 07-02956 | 08/08/2008 | Claimant(s): Isidore Fields and Dolores Fields
Claimant Lawyers(s): Isidore Fields
Respondent(s): Chase Investment Services Corp., Loren Bailey, Nicholas Manchisi
Respondent Lawyers(s): Sheila E. Carson
Arbitrator(s): Walter A. Kapuscinski, Kenneth J. Horowitz, S. Charles Tabak
Hearing Site: Newark, NJ
| | $0 |
| 06-04153 | 07/28/2008 | Claimant(s): David and Susan Dinges
Claimant Lawyers(s): Marc S. Gottlieb
Respondent(s): McLaughlin, Piven, Vogel Securities, Larry Tulenko
Respondent Lawyers(s): Mark G. Vaughan
Arbitrator(s): William H. Steinhart, Walter W. Jensen, Robert T. Costello
Hearing Site: Newark, NJ
| | Expungement |
| 06-04152 | 07/08/2008 | Claimant(s): William Dinges, Jr., and Agnes Dinges
Claimant Lawyers(s): Marc S. Gottlieb
Respondent(s): McLaughlin, Piven, Vogel Securities, Lawrence Tulenko
Respondent Lawyers(s): Mark G. Vaughan
Arbitrator(s): Robert S. Getman, Wayne R. Jahns, Norman Kass
Hearing Site: Newark, NJ
| | Expungement |
| 08-00025 | 07/08/2008 | Claimant(s): Vince Sullivan and Monica Sullivan
Claimant Lawyers(s): Vince Sullivan
Respondent(s): E* Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): William E. Smith
Hearing Site: Newark, NJ
| | $163 |
| 07-01432 | 07/03/2008 | Claimant(s): David Gregory
Claimant Lawyers(s): David Gregory
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Tracey C. Gilliam
Arbitrator(s): Charles L. Prothero, David L. Becker, Richard H. Hoenig
Hearing Site: Newark, NJ
| | $0 |
| 07-01578 | 06/23/2008 | Claimant(s): Mario Picinich, Rosemarie Picinich
Claimant Lawyers(s): Bruce E. Baldinger
Respondent(s): Jeffrey Alecci, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Susan MacFarlane
Arbitrator(s): Nathan J. Minucci, Kenneth J. Horowitz, Norman Kass
Hearing Site: Newark, NJ
| | $0 |
| 07-02933 | 06/16/2008 | Claimant(s): Stuart Shainheit
Claimant Lawyers(s): Paul A. Douglas
Respondent(s): Herbert Mahler, Brean Murray, Carret & Co, Mahler & Emerson Inc.
Respondent Lawyers(s): Marc S. Gottlieb
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $0 |
