| 06-03145 | 04/30/2008 | Claimant(s): Roberto Erusalimsky, Highlands Investment Trading, Ltd., et
Claimant Lawyers(s): Alan R. Perry
Respondent(s): HSBC Brokerage (USA) Inc., HSBC Securities (USA) Inc.
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): Michael A. Levin, Daniel S. Newman, Richard A. Stephens
Hearing Site: Boca Raton, FL
|  | $0 |
| 07-02930 | 04/30/2008 | Claimant(s): William Kling
Claimant Lawyers(s): William Kling
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kelly R. Davis
Arbitrator(s): A. Keith Logue
Hearing Site: Birmingham, AL
| | $0 |
| 07-03095 | 04/30/2008 | Claimant(s): Bruno Cimaglia
Claimant Lawyers(s): Bruno Cimaglia
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Hilda H. Boas
Hearing Site: New York, NY
| | $0 |
| 07-03425 | 04/30/2008 | Claimant(s): Shoji Takahashi
Claimant Lawyers(s): Shoji Takahashi
Respondent(s): Firstrade Securities Inc.
Respondent Lawyers(s): Peter Gschweng
Arbitrator(s): Harry Miller
Hearing Site: Los Angeles, CA
| | $213 |
| 07-00476 | 04/29/2008 | Claimant(s): Est. of Thomas H. Piccarreto by Bentti
Claimant Lawyers(s): Douglas Moyal
Respondent(s): Great Eastern Securities.
Respondent Lawyers(s): Derick Johnson
Arbitrator(s): Pamela H. Roderick, Evonne W.J. Tolbert, Mary L. Merkle
Hearing Site: New York, NY
| | $55,686 |
| 07-01355 | 04/29/2008 | Claimant(s): Adele Nathanson, J&A Nathanson Family Trust
Claimant Lawyers(s): Alex M. Allman
Respondent(s): Chris Haera, Wachovia Securities, Dan Klein
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): James M. Johnstone, Richard Charles Hotvedt, Charles C. Fox
Hearing Site: Baltimore, MD
| | $0 |
| 07-03195 | 04/28/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Vikas Patel
Respondent Lawyers(s): Vikas Patel
Arbitrator(s): Richard E. Lerner
Hearing Site: Newark, NJ
| | $0 |
| 07-01762 | 04/28/2008 | Claimant(s): Bantz Revocable Living Trust
Claimant Lawyers(s): William F. Davis
Respondent(s): David Rhee
Respondent Lawyers(s): David J. Rhee
Arbitrator(s): S. Jeffrey Minker
Hearing Site: Phoenix, AZ
| | $98,000 |
| 07-01815 | 04/28/2008 | Claimant(s): Larry Finkermeier
Claimant Lawyers(s): Jeffrey Kruske
Respondent(s): New England Securities
Respondent Lawyers(s): Peter J. Flanagan
Arbitrator(s): Donald B. Clark
Hearing Site: Kansas City, MO
| | $35,274 |
| 04-07141 | 04/25/2008 | Claimant(s): Mariam Nigohosian
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Waterhouse Securities a/k/a
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Judith Fields Jurney, James S. Hazard, Daniel A. Dolan
Hearing Site: New York, NY
| | $150,000 |
