| 03-02675 | 02/22/2008 | Claimant(s): Kamran Tavakoli
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): John Farahi, Michael Khorsandi, Newpoint Securities
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Robert S. Granas, James M. Mulcahy, Russell T. Doe
Hearing Site: Los Angeles, CA
|  | Stipulated Award and Expungement |
| 04-04140 | 02/22/2008 | Claimant(s): Patricia McEvoy
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Gregory Wagner, Marcel Wagner, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe
Arbitrator(s): Jim Geiger, Fred Shinagel, Linda T. Pellegrino
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 04-05795 | 02/22/2008 | Claimant(s): Vincent Bellino
Claimant Lawyers(s): Vincent Bellino
Respondent(s): Wachovia Securities, Frank Kim, John Compton, Patrick Kim
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Cornelius C. Clancy, Bernard Herman, Irene C. Warshauer
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 06-05397 | 02/22/2008 | Claimant(s): Leona Levitan, Arleen Bernstein, etal.
Claimant Lawyers(s): Scott M. Zucker
Respondent(s): Daniel OShea, David Pike, Douglas Damrow, Prudential Equity Group
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): Guy K. Stewart, Sydney I. Josepher, Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 07-01431 | 02/22/2008 | Claimant(s): Jean Locascio and Sandy White
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Raymond Burghard, Trident Partners, Ltd.
Respondent Lawyers(s): John E. Lawlor, Raymond Burghard
Arbitrator(s): Michael J. McAllister, Charles S. Guggenheimer, Howard L. Greenberger
Hearing Site: New York, NY
| | $120,000 |
| 05-04113 | 02/22/2008 | Claimant(s): Steven and R. Alex Smith
Claimant Lawyers(s): Lee B. Rowell
Respondent(s): Putnam Retail Management, LLP
Respondent Lawyers(s): Andrew J. Hachey
Arbitrator(s): Eric Spencer Buchanan
Hearing Site: Jackson, MS
| | $0 |
| 06-05130 | 02/20/2008 | Claimant(s): Clinton and Julie Howe
Claimant Lawyers(s): F. Albert Ibrahim
Respondent(s): Gregory Geis, Allstate Life Insurance Company, BancWest Investment Services., Bank of the West
Respondent Lawyers(s): Barry D. Hovis, Sonia R. Martin
Arbitrator(s): John Patrick Kelly, Nick G. Tarlson, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $3,750 |
| 07-00795 | 02/19/2008 | Claimant(s): Hugo Castro
Claimant Lawyers(s): Hugo Castro
Respondent(s): Frank Fierro, Legg Mason Wood Walker
Respondent Lawyers(s): Gretchen Klebasko
Arbitrator(s): J. Kirkland Grant, N. John Garcia, Dana R. Krajack
Hearing Site: Columbia, SC
| | $5,604 |
| 07-01105 | 02/19/2008 | Claimant(s): Karen Schwartz
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Rodney Acker
Arbitrator(s): Judith A. Gust, Evelyn R. Wiggins, Zachary Scott Rigdon
Hearing Site: San Diego, CA
| | $0 |
| 07-02095 | 02/19/2008 | Claimant(s): Stephen S. Francis
Claimant Lawyers(s): Stephen S Francis
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): William Michael Samsel
Hearing Site: San Francisco, CA
| | $213 |
