| 07-03198 | 05/12/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): William Chen
Respondent Lawyers(s): William Chen
Arbitrator(s): Harold I. Geringer
Hearing Site: New York, NY
|  | $0 |
| 07-01389 | 05/12/2008 | Claimant(s): Ken Frain
Claimant Lawyers(s): Scott L. Silver
Respondent(s): David Cowoski
Respondent Lawyers(s): David Cowoski
Arbitrator(s): Nicholas V. Pulignano, Michael W. Brody, Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $116,000 |
| 07-02570 | 05/12/2008 | Claimant(s): Lewis Nigg
Claimant Lawyers(s): Bruce N. Munson
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Kiran V. Somashekara
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Indianapolis, IN
| | $214 |
| 07-01095 | 05/09/2008 | Claimant(s): Evelyn Brandin, IRA, Brandin Family Trust
Claimant Lawyers(s): David Liebrader
Respondent(s): James Thomas
Respondent Lawyers(s): Alan L. Sachs
Arbitrator(s): Merrill Dean Taylor, Robert Rosen, Dee Newell
Hearing Site: Las Vegas, NV
| | $1,225,420 |
| 07-02178 | 05/09/2008 | Claimant(s): Alfred Baker
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Wildredo Felix, Primex Prime Electronic Execution
Respondent Lawyers(s): Wildredo Felix, Wilfredo Felix
Arbitrator(s): Marilyn J. Salzman, Michael J. Tully, Edwin I. Levy
Hearing Site: New York, NY
| | $17,130 |
| 06-01722 | 05/09/2008 | Claimant(s): Mary Sherwood
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): Terri Coster Boesch, M. Scott Donahey, Hadden Wing Roth
Hearing Site: San Francisco, CA
| | $0 |
| 07-01438 | 05/08/2008 | Claimant(s): Dale Croteau
Claimant Lawyers(s): Kevin G. Diamond
Respondent(s): Brian Martinsen, Michael Inghilterra, First Montauk Securities Corp.
Respondent Lawyers(s): Brian Keith Martinsen, Michael Joseph Inghilterra, Robert I. Rabinowitz
Arbitrator(s): David Love, William I. Carmen, Thomas J. Nash
Hearing Site: Boston, MA
| | $51,300 |
| 07-01464 | 05/08/2008 | Claimant(s): Arvilla Orton, Arvilla Lorraine Orton 1st Trust UA dtd
Claimant Lawyers(s): Allan M. Lerner
Respondent(s): Rebecca Engle
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Stuart M. Rapee, Joel F. Martineau, James Conrad Sankpill
Hearing Site: Boca Raton, FL
| | $245,940 |
| 06-01384 | 05/08/2008 | Claimant(s): Susan Wickizer
Claimant Lawyers(s): Paul N. Young
Respondent(s): Jeffrey Toman, Piper Jaffray & Co.
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Joseph M. Costello, Rhonda L. Rhodes, Michael A. Ruderman
Hearing Site: Denver, CO
| | $0 |
| 06-03334 | 05/07/2008 | Claimant(s): James Garibaldi
Claimant Lawyers(s): George F. Riess
Respondent(s): A.G. Edwards & Sons., Scott Foreman
Respondent Lawyers(s): Matthew Salamon
Arbitrator(s): Cheryl D. Cassreino, C. Ellis Henican, James Kee Irvin
Hearing Site: New Orleans, LA
| | $225 |
