| 07-03185 | 07/08/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): David Feldman
Respondent Lawyers(s): David Feldman
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
|  | $0 |
| 05-03691 | 07/08/2008 | Claimant(s): N. Honer
Claimant Lawyers(s): Walter L. Baumgardner
Respondent(s): David Hester, Robert W. Baird & Co. Incorporated, Victor Whang
Respondent Lawyers(s): Gary M. Saretsky
Arbitrator(s): John R. Main, Timothy J. Currier, Lee Hornberger
Hearing Site: Detroit, MI
| | Stipulated Award and 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 |
| 07-00074 | 07/03/2008 | Claimant(s): Daryl Scheaffer, Jane Specketer, John Hartman, Leslie Davis, Linda Scheaffer, Paul Prymak, Ritchie Smith, Tedd Sabus, Anthony J. and Patricia A. Pisani, Christopher D. and Sandra M. Olson, Darrel W. and Vera J. Longley, Daryl and Linda Scheaffer, John and Lillian Prymak, Preston and Sheila Smith, Richard Brice & Paula Higgens-Brice, Robert and Brenda Daley, Robert and Evelyn Toro, Robert and Velva Weston, William E. and Toni A. Brock, Rev. Living Trust of Sammy J. Martinez
Claimant Lawyers(s): William R. Fishman
Respondent(s): Mutual Service Corporation, Contemporary Financial Solutions
Respondent Lawyers(s): Craig Bockman
Arbitrator(s): Susan M. Thevenet, Deanna M. Tuley, Patti Fellows Peters
Hearing Site: Denver, CO
| | $919,740 |
| 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 |
| 05-06360 | 07/02/2008 | Claimant(s): Ismael Aviles-Torres & Daisy Pastrana
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Ernesto Casco, Frank Bell, Jose Mirabal, New World Financial.
Respondent Lawyers(s): Ernesto J. Casco, F. Richard Bell, Gary S. Artzt, Jose Mirabal
Arbitrator(s): Joseph L. Bernstein, James A. Smith, Sanford M. Naiditch
Hearing Site: Boca Raton, FL
| | $377,955 |
| 07-02670 | 07/02/2008 | Claimant(s): Dionna Barker, IRA FBO Dionna Barker, Dionna L. Barker U/A Trust DTD 10/8/1998
Claimant Lawyers(s): Robert N. Sheets
Respondent(s): Paige Harris, Bosc.
Respondent Lawyers(s): Paul DeMuro
Arbitrator(s): Leslie L. Conner, Margaret C. Kerr, Jonathan Barry Forman
Hearing Site: Oklahoma City, OK
| | Stipulated Award and Expungement |
| 07-01138 | 07/01/2008 | Claimant(s): Helen-Carolyn Ackerly
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Gilford Securities Incorporated
Respondent Lawyers(s): Michael Kalmus
Arbitrator(s): Joseph B. Russell, Kenneth L. Stewart, Joseph R. Brancaleone
Hearing Site: New York, NY
| | $58,000 |
| 06-01817 | 06/30/2008 | Claimant(s): Akhil Shah, Rajnikant Shah
Claimant Lawyers(s): Michael M. Feinberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Curt Roy Hineline
Arbitrator(s): Craig Charles Beles, Charles M. Ackerman, Stephen E. DeForest
Hearing Site: Seattle, WA
| | $0 |
