| 07-00114 | 02/27/2008 | Claimant(s): Jason Cohen, Oracle Services, INc. FBO Jason Cohen
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Arthur P. Fisch, Ilene Barbara Zatkin-Butler, Howard Weitz
Hearing Site: New York, NY
|  | $500,000 |
| 07-01431 | 02/22/2008 | Claimant(s): Jean Locascio and Sandy White
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Raymond Burghard, Trident Partners, Ltd.
Respondent Lawyers(s): John E. Lawlor, Raymond Burghard
Arbitrator(s): Michael J. McAllister, Charles S. Guggenheimer, Howard L. Greenberger
Hearing Site: New York, NY
| | $120,000 |
| 07-02180 | 02/12/2008 | Claimant(s): Robert M. Aspin and Marialine Verdickt
Claimant Lawyers(s): Robert M. Aspin
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): Robert S. Getman
Hearing Site: New York, NY
| | $10,425 |
| 07-02102 | 02/12/2008 | Claimant(s): Donald Storer
Claimant Lawyers(s): Donald Storer
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Joel P. Mellis
Hearing Site: New York, NY
| | $38 |
| 06-00371 | 02/06/2008 | Claimant(s): Rose Portolano
Claimant Lawyers(s): James A. Prestiano
Respondent(s): Anton Gerdes, Carl De Lucia, Harold Garrecht, Steven Gatto, East Shore Partners.
Respondent Lawyers(s): Michael P. Gilmore, Steven S. Gatto
Arbitrator(s): Larry A. Kimmel, Barry Feiden, Ronald J Betso
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 05-04934 | 02/05/2008 | Claimant(s): Alan Stevenson, Andrew Trojner, Capital Asset Management Ltd., Hartford Financial Holdings., Lighthouse Two Corp., NKV, Ltd
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Steven Signer
Respondent Lawyers(s): Steve A. Miller
Arbitrator(s): Daniel J. McCarthy, Sid Braufman, Joseph N. Stineman
Hearing Site: New York, NY
| | $1,875,000 |
| 07-02297 | 01/30/2008 | Claimant(s): Hong Ng
Claimant Lawyers(s): John Chou
Respondent(s): Firstrade Securities Inc.
Respondent Lawyers(s): Peter Gschweng
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
| 06-04051 | 01/29/2008 | Claimant(s): Robert Ferrucci
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): McLaughlin, Piven, Vogel Securities, Lawrence Tulenko
Respondent Lawyers(s): Mark G. Vaughan
Arbitrator(s): Howard S. Quinn, Kenneth F. Leder, Peter A. Seibel
Hearing Site: New York, NY
| | $467,000 |
| 07-00747 | 01/29/2008 | Claimant(s): Goldsmith & Harris Capital Appreciatio
Claimant Lawyers(s): Evan L. Gordon
Respondent(s): Richard Anthony
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Richard D. Gueren, Richard D. Chusid, Richard J. McLynn
Hearing Site: New York, NY
| | $90,680 |
| 03-09099 | 01/28/2008 | Claimant(s): Barbara King, The Barbara King Family Trust
Claimant Lawyers(s): Brian Maas
Respondent(s): David Kotowski, David Savetz, UBS Financial Services Inc.
Respondent Lawyers(s): David C. Franceski, David Katowski
Arbitrator(s): Constantine N. Katsoris, John B. Morgan, Alan R. Sloate
Hearing Site: New York, NY
| | $1,750,000 |
