| 05-00757 | 03/19/2008 | Claimant(s): Jeffrey Kandel, The Billie Kandel Levine Trust #2
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Jed Kaplan, Kaplan & Co. Securities.
Respondent Lawyers(s): Stephen A. Mendelsohn
Arbitrator(s): Mark C. Perry, James D. McDonald, Burton Silverstein
Hearing Site: Boca Raton, FL
|  | Stipulated Award and Expungement |
| 06-04110 | 03/19/2008 | Claimant(s): Anna Anderson, Antonio McNeil, Carlton Phillips, George Boddie, Joe Ricks, Joyce Houston, Linda Eley, Ruth Beamon, Ruth Boone, Vertellar Clark, Wilbert Battle
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): David P. McDuffee, Karen J. Montgomery, Karen E. Sapp
Hearing Site: Raleigh, NC
| | $329,242 |
| 03-07132 | 03/19/2008 | Claimant(s): Ischemia Research & Education Foundation
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Glenda L. Rhodes, Laurie E. Law, Joan M. Schroeder
Hearing Site: Seattle, WA
| | $0 |
| 07-00520 | 03/19/2008 | Claimant(s): Calvin Smith #37345-004, Errell Heflin- REG# 79150-012, George Eiland- REG# 99770-131, Roger Lunsford- REG# 21241-057
Claimant Lawyers(s): Calvin Smith- REG# 37345-004, Errell Glenn Heflin - REG# 79150-012, George W. Eiland - REG#99770-131, Roger K. Lunsford- REG# 21241-057
Respondent(s): Thomas Leechin, Nations Financial Group., RBC Dain Rauscher Inc.
Respondent Lawyers(s): Bryan Keane, William T. McCartan
Arbitrator(s): Glenn R. Oxner, Laurence M. Scoville, Robert S. Zuckerman
Hearing Site: Columbia, SC
| | $0 |
| 06-01289 | 03/18/2008 | Claimant(s): Angelo & Benedetta Pisani
Claimant Lawyers(s): Lisa A. Catalano
Respondent(s): Ari Elfenbein, Steven Bernstein, Capital Growth Financial
Respondent Lawyers(s): Adam H. Smith, Michael S. Jacobs, Steven Stang Bernstein
Arbitrator(s): Barbara J. Glenns, Ilene Barbara Zatkin-Butler, Randall K. Berger
Hearing Site: New York, NY
| | $40,500 |
| 07-02342 | 03/18/2008 | Claimant(s): Comprehensive Wealth Management L.L.C.
Claimant Lawyers(s): Kent Millikan
Respondent(s): Mark Lindberg and Darlene Lindberg
Respondent Lawyers(s): Mark and Darlene Lindberg
Arbitrator(s): Laurie E. Law
Hearing Site: Seattle, WA
| | $1,897 |
| 00-01921 | 03/18/2008 | Claimant(s): Gordon Chan
Claimant Lawyers(s): Matthew R. Rutherford
Respondent(s): Peter Perez
Respondent Lawyers(s): Peter Anthony Perez
Arbitrator(s): Donald S.K. Ching, George Mah, Tobin B. Swanson
Hearing Site: Honolulu, HI
| | $0 |
| 06-03481 | 03/18/2008 | Claimant(s): Mark Urich
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Richard Lewin, Robert Lewin
Respondent Lawyers(s): James M. Moriarty
Arbitrator(s): Douglas John Baumann, Roland E. Wyatt, Louis P. Wagman
Hearing Site: New York, NY
| | $0 |
| 06-03827 | 03/18/2008 | Claimant(s): Robert V. Troy, Estate of Eleanor Daly
Claimant Lawyers(s): Robert V. Troy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Patrick Taylor
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Scott Pierce, Daniel P. Lund, William H. Morley
Hearing Site: New York, NY
| | $0 |
| 07-02737 | 03/18/2008 | Claimant(s): Melanie Bruno
Claimant Lawyers(s): Milton Fried
Respondent(s): AXA Advisors
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): Walter S. Weiss, James H. Frank, Louise A. Berberian
Hearing Site: Los Angeles, CA
| | $0 |
