| 03-09085 | 03/31/2008 | Claimant(s): Fred Lowenschuss, Laurance Lowenschuss, ENTERED IN ERROR, Alan Lowenschuss Trust UAD 1/24/89, Edward Lowenschuss Trust UAD 1/24/89
Claimant Lawyers(s): Edward Lowenschuss, Fred Lowenschuss
Respondent(s): Sanford I. Weill, Citigroup Global Markets., Jack B. Grubman, John Hoffmann, Joseph Friedman, Kevin McCaffrey, Robert Waldman
Respondent Lawyers(s): William F. Alderman
Arbitrator(s): Michael W. Burnett, Erik R. Siering, Arthur T. Berggren
Hearing Site: Los Angeles, CA
|  | Stipulated Award and Expungement |
| 07-00916 | 03/31/2008 | Claimant(s): Janeen Sudaka-Karlsson
Claimant Lawyers(s): Janeen A. Sudaka-Karlsson
Respondent(s): Arthur Auch, Catherine Maguire, Christine Cunningham, Eric Peske, Citigroup Global Markets., James Ducey, James Lombardi, Jelmena Hudson, John Olson, Joseph Plumeri, Karen Siannas, Kathleen Ferraro, Kelly Walsh, Linus Cooke, Lisa Feld, Marcelo Ippoliti, Maria Frattaroli, Merrill Lynch Pierce Fenner & Smith Inc., Philip Gullo, Richard Petit (a/k/a Ecklund), et al
Respondent Lawyers(s): Edwin Zipf, Richard A. Petit (a/k/a Ecklund), Victor A. Machcinski
Arbitrator(s): Robert L. Palleschi, Martin H. Zern, Valerie Robbin Watts
Hearing Site: New York, NY
| | $0 |
| 07-01888 | 03/31/2008 | Claimant(s): Roger Moore
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): H.D. Vest Investment Services
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Gerald D. Wygant, George H. Speciale, William J. Chambers
Hearing Site: Boise, ID
| | $0 |
| 06-04074 | 03/28/2008 | Claimant(s): Charles B., and Denise P. Lee
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): John Moseley, Raymond James Financial Services.
Respondent Lawyers(s): Erin Linehan
Arbitrator(s): Phillip Lee Scheldt, W. Donald Parr, James Douglas Haigh
Hearing Site: Dallas, TX
| | $225,375 |
| 06-01656 | 03/28/2008 | Claimant(s): Brenna Lynn Michaels, Cust. Acct., Kevin J. Moody, Cus. Acct, Kyle Moody, Kevin J. Moody & Richard Moody, Ryan Moody and Richard Moody, Richard J. Moody Revocable Living Tr., Richard J. Moody, Rev.Liv.Tr.
Claimant Lawyers(s): A. Daniel Woska
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Edwin E O'Brien, Carroll O. Johnson, Mary Day Smelser
Hearing Site: Oklahoma City, OK
| | $0 |
| 07-00168 | 03/28/2008 | Claimant(s): Fatima Belaid
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Jeffrey Halpert, The Jeffrey Matthews Financial Grp LLC
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Kenneth Diamond
Hearing Site: New York, NY
| | $0 |
| 07-01100 | 03/28/2008 | Claimant(s): The Shorr Family Trust
Claimant Lawyers(s): Ronald W. Karolyi
Respondent(s): A.G. Edwards & Sons., Terry Dean
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert S. Zuckerman, Michael E. Pearson, Richard E. Miley
Hearing Site: Charlotte, NC
| | $0 |
| 07-02806 | 03/28/2008 | Claimant(s): Jennifer Coradi
Claimant Lawyers(s): Jennifer Coradi
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Susan Nock
Arbitrator(s): Joe Carroll Thomas
Hearing Site: Columbia, SC
| | $0 |
| 07-00489 | 03/27/2008 | Claimant(s): Patricia Pearson
Claimant Lawyers(s): Patricia Ann Pearson
Respondent(s): Barbara Ahern, Citigroup Global Markets., Michael Passeroff, William Dodge
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | $18,000 |
| 97-00418 | 03/27/2008 | Claimant(s): Howard Kabrins
Claimant Lawyers(s): Howdy Kabrins
Respondent(s): Citigroup Global Markets., Richard Goldstein
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Roberta Haft, Clyde Kenan Oldham
Hearing Site: Los Angeles, CA
| | $0 |
