| 07-00362 | 01/31/2008 | Claimant(s): Jose Ruelas
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Wachovia Securities, Stephen Wilson
Respondent Lawyers(s): Demian J. Betz, Peter Dolan
Arbitrator(s): John Alen DeRosa, Robert W. Vernon, Frank L. Wolf
Hearing Site: Los Angeles, CA
|  | $0 |
| 07-00519 | 01/30/2008 | Claimant(s): Amazing Destiny Trust, Moonlight Miracle Trust
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Carlo Sparacino, David Crist, Jeffrey Reed, SII Investments., WIN-Team Insurance Services.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Barbara M. Zak, Daniel R. Brush, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | $255,149 |
| 05-01363 | 01/30/2008 | Claimant(s): Donna Bell, Harry Culbreath, Ben Miller Irrevocable Trust
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Foresters Equity Services.
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Kathleen K. Murphy, Joel D. Feldman, Catherine S. Kopley
Hearing Site: Philadelphia, PA
| | $0 |
| 07-02297 | 01/30/2008 | Claimant(s): Hong Ng
Claimant Lawyers(s): John Chou
Respondent(s): Firstrade Securities Inc.
Respondent Lawyers(s): Peter Gschweng
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
| 04-06421 | 01/29/2008 | Claimant(s): Steven Dobel
Claimant Lawyers(s): Edward Zusman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jennifer Tomsen
Arbitrator(s): Mark A. Myers, James Francis Donovan, Robert A. Wojcik
Hearing Site: New Orleans, LA
| | $288,000 |
| 06-04051 | 01/29/2008 | Claimant(s): Robert Ferrucci
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): McLaughlin, Piven, Vogel Securities, Lawrence Tulenko
Respondent Lawyers(s): Mark G. Vaughan
Arbitrator(s): Howard S. Quinn, Kenneth F. Leder, Peter A. Seibel
Hearing Site: New York, NY
| | $467,000 |
| 06-05049 | 01/29/2008 | Claimant(s): Stephan Rupp, Professional Investment Group
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Brian Herman, Jay Noiman, Sean Callahan, Viewtrade Securities,.
Respondent Lawyers(s): Eugene Michael Kennedy
Arbitrator(s): R. Christopher Laux, Lawrence S. Silver, Peter A. Portley
Hearing Site: Boca Raton, FL
| | $25,000 |
| 07-00747 | 01/29/2008 | Claimant(s): Goldsmith & Harris Capital Appreciatio
Claimant Lawyers(s): Evan L. Gordon
Respondent(s): Richard Anthony
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Richard D. Gueren, Richard D. Chusid, Richard J. McLynn
Hearing Site: New York, NY
| | $90,680 |
| 03-00077 | 01/29/2008 | Claimant(s): Barbara Gordon
Claimant Lawyers(s): Jakes Jordaan
Respondent(s): David Komansky, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel R. Sharp
Arbitrator(s): Thomas D. Nagle, Charles S. Chester
Hearing Site: Houston, TX
| | $0 |
| 07-00409 | 01/29/2008 | Claimant(s): Ferdinand Tranfo, Letizia Tranfo
Claimant Lawyers(s): Arthur M. Schwartzstein
Respondent(s): Jeffrey Shuster, Westrock Advisors.
Respondent Lawyers(s): Robert Giacovas
Arbitrator(s): John H. Baffa, Gloria Asher, Anne Q. Uno
Hearing Site: Washington, DC
| | $0 |
