| 07-01311 | 01/03/2008 | Claimant(s): William B. and Mary Connolly
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): Victoria Tomaro, TFS Securities.
Respondent Lawyers(s): Russell Burnside
Arbitrator(s): Dale S. Cronnell, Steven R. Rolnick, Thomas C. Tretter
Hearing Site: Hartford, CT
|  | $0 |
| 06-03531 | 12/31/2007 | Claimant(s): Carrie Mohundro
Claimant Lawyers(s): Joe Alfred Izen
Respondent(s): Richard Ibarra, Institutional Equity Corporation
Respondent Lawyers(s): David B. Dyer, Jeffrey Michel
Arbitrator(s): Robert L. Chisolm, Robert R. Marquardt, Larry N. Quinn
Hearing Site: Dallas, TX
| | $0 |
| 05-05919 | 12/28/2007 | Claimant(s): Silverstein Investments, LTD., Goldendale Investments, Ltd and et al
Claimant Lawyers(s): Wayne Josel
Respondent(s): David Niederkrome, John Jessum, Great Eastern Securities., Penson Financial Services.
Respondent Lawyers(s): Carole R. Bernstein, Derrick Johnson, Glenn A. Duhl, Will S. Montgomery
Arbitrator(s): Beth J. Falk, Peter P. Skomorowsky, Elizabeth Elster Granville
Hearing Site: New York, NY
| | $836,290 |
| 05-01567 | 12/27/2007 | Claimant(s): Mary DeThorne
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Edward Malysiak, Rothschild Investment Corp.
Respondent Lawyers(s): James B. Koch, Michael R. Grimm
Arbitrator(s): Ronald C. Peters, William B. Ross, Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $9,626 |
| 06-01536 | 12/27/2007 | Claimant(s): Dean A. & Laura Hocket Coats JTTEN
Claimant Lawyers(s): Lawrence J. Klayman
Respondent(s): KFS, BD.
Respondent Lawyers(s): James M. Bausch
Arbitrator(s): David W. Martin, Joseph E. Mais, James H. Sanchez
Hearing Site: Phoenix, AZ
| | $0 |
| 06-05154 | 12/27/2007 | Claimant(s): Devora Tilson, Property Management of Jack Tilson
Claimant Lawyers(s): William A. Rome
Respondent(s): Thomas Kershner, Kennerman Associates.
Respondent Lawyers(s): Timothy J. O'Connor
Arbitrator(s): Robert J. Kheel, Kenneth B. Cutler, John N. Polakas
Hearing Site: New York, NY
| | $0 |
| 07-00702 | 12/27/2007 | Claimant(s): Robert Goldman, Beth Goldman
Claimant Lawyers(s): Beth Goldman, Robert Goldman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen Adams
Arbitrator(s): Henry L. Dahl
Hearing Site: Phoenix, AZ
| | $0 |
| 06-05283 | 12/26/2007 | Claimant(s): Lafise Valores Santo Domingo, S.A.
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Stanford Group Company
Respondent Lawyers(s): Ronald Shindler
Arbitrator(s): Allen J. Kaplan, Patricia J. Murphy, Dale W. Oliver
Hearing Site: Boca Raton, FL
| | $297,000 |
| 07-00072 | 12/26/2007 | Claimant(s): Assunta Ritucci-Chinni, Elene Zeni, Francesco Ritucci-Chinni, Franz Ritucci-Chinni, Guilio Zeni, Martha Ritucci-Chinni
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Sterling Financial Investment Group
Respondent Lawyers(s): Ejola Christlieb Cook
Arbitrator(s): John Berryman, Thomas K. Goldie, Robert J. Walter
Hearing Site: Orlando, FL
| | $162,290 |
| 07-00877 | 12/26/2007 | Claimant(s): Vera Maria Knowles IRA FBO
Claimant Lawyers(s): Vera Maria Knowles
Respondent(s): Matthew Collier, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): H. Kyeng Lee
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | Expungement |
