| 07-01346 | 06/17/2008 | Claimant(s): Judy Schulman and Murray Bieda
Claimant Lawyers(s): Marc A. Wites
Respondent(s): Jason Woessner, National Financial Services LLC, Scott Brooks, Stanley Brooks, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, Jason Woessner, Matthew Farley
Arbitrator(s): Lawrence M. Green, Stuart Harvey Ziegler, Edwin J. Slovitt
Hearing Site: Boca Raton, FL
|  | $540,000 |
| 07-00262 | 06/17/2008 | Claimant(s): Frederick A. and Suzanne E. Lovejoy
Claimant Lawyers(s): Frederick A. Lovejoy
Respondent(s): E*Trade Securities LLC, Stephen Tachiera
Respondent Lawyers(s): John Bersin
Arbitrator(s): Catherine Ladnier, David Ellis, Sean Alan D'Amico
Hearing Site: Hartford, CT
| | $0 |
| 06-01451 | 06/16/2008 | Claimant(s): Joseph Moceri, IRA, Judith Moceri, 401(K) and Profit Sharing Plan, Joseph Moceri Trust
Claimant Lawyers(s): Dean J. Groulx
Respondent(s): Kenneth BrandtL fka Linsco/Private Ledger Corp., Brandt, Kelly & Simmons Securities
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Marvin I. Horowitz, Barry Goldman, Anthony J. Bove
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 07-00384 | 06/16/2008 | Claimant(s): David Clappisi, Melanie Clappisi
Claimant Lawyers(s): Patrick D. Vellone
Respondent(s): Derek Kent, Sagepoint Financial., AIG SunAmerica Inc.
Respondent Lawyers(s): John P. Glenn, William D. Nelson
Arbitrator(s): Malcolm T. Cleland, Steven Meyrich, Martha M. Walker
Hearing Site: Denver, CO
| | $511,228 |
| 07-03539 | 06/16/2008 | Claimant(s): Bruce M. McCoy and Patti A. McCoy
Claimant Lawyers(s): Bruce M. McCoy
Respondent(s): Ryan Burch
Respondent Lawyers(s): Ryan Burch
Arbitrator(s): Carl B. Noelke
Hearing Site: San Francisco, CA
| | $6,429 |
| 06-05045 | 06/16/2008 | Claimant(s): Mary Lenzi, Timothy Lenzi
Claimant Lawyers(s): Shelley Stasson
Respondent(s): Christopher Dowd, Merrill Lynch, Merrill Lynch Life Agency.
Respondent Lawyers(s): Jeffrey T. Rogg
Arbitrator(s): Stewart C.W. Weiner, V. George Laktzian, Paul Sislin
Hearing Site: Detroit, MI
| | $0 |
| 07-02808 | 06/16/2008 | Claimant(s): Clarence Smith
Claimant Lawyers(s): Clarence Smith
Respondent(s): Anthony Williams, Edward Jones
Respondent Lawyers(s): Christopher Pickett
Arbitrator(s): Oren L. Connaway
Hearing Site: Houston, TX
| | $163 |
| 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 |
| 07-03183 | 06/13/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): David George
Respondent Lawyers(s): David George
Arbitrator(s): Richard D. Brady
Hearing Site: Seattle, WA
| | $0 |
| 08-00083 | 06/13/2008 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Edward W. Larkin
Respondent(s): Arbco Capital Management, LLP
Respondent Lawyers(s): Hayim Regensberg
Arbitrator(s): Richard W. Cutler, Irene C. Warshauer, Joan Seewald Brodsky
Hearing Site: New York, NY
| | $1,322,100 |
