| 06-03931 | 02/06/2008 | Claimant(s): Patricia Murphy
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): Chintaman Dalvi, James Patten, Empire Financial Group., Greater Metropolitan Investment Serv., T.R. Winston & Company
Respondent Lawyers(s): Eden L. Rohrer, James Patten, Richard C. Szuch, Sheryl M. Goski, Todd Zuckerbrod
Arbitrator(s): Leon Henderson, Donald Cornelius Morrison, Alan L. Berger
Hearing Site: Raleigh, NC
|  | $1,165,800 |
| 07-01955 | 02/06/2008 | Claimant(s): Ronald L. and Shelli M. Elledge
Claimant Lawyers(s): Eddie A. Pantiliat
Respondent(s): Brian Tollefson, Kevin Wittig, Edward Jones
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): George N. Roy
Hearing Site: Phoenix, AZ
| | Stipulated Award and Expungement |
| 07-02441 | 02/06/2008 | Claimant(s): Sandra Ask, Theron Ask, Theron Ask and Sandra Ask
Claimant Lawyers(s): Michael MacDonald
Respondent(s): Gerald Zyskowski, Gardner Financial Services.
Respondent Lawyers(s): Nicole M. Siemens, Richard A. Lind
Arbitrator(s): Bruce J. Nerland, Joan L. Volz, Janna Rae Severance
Hearing Site: Minneapolis, MN
| | $0 |
| 06-05369 | 02/05/2008 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Will S. Montgomery
Respondent(s): MISR Securities International
Respondent Lawyers(s): Debra G. Speyer
Arbitrator(s): Charles A. Joplin, C. Sumpter Logan, Larry N. Quinn
Hearing Site: Dallas, TX
| | $0 |
| 05-04934 | 02/05/2008 | Claimant(s): Alan Stevenson, Andrew Trojner, Capital Asset Management Ltd., Hartford Financial Holdings., Lighthouse Two Corp., NKV, Ltd
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Steven Signer
Respondent Lawyers(s): Steve A. Miller
Arbitrator(s): Daniel J. McCarthy, Sid Braufman, Joseph N. Stineman
Hearing Site: New York, NY
| | $1,875,000 |
| 07-01088 | 02/05/2008 | Claimant(s): Richard Oppong
Claimant Lawyers(s): Lee Boothby
Respondent(s): E*Trade Securities LLC, E*Trade Bank
Respondent Lawyers(s): John Bersin
Arbitrator(s): Walter Peterson, Michael J. Henke, Jane C. Carney
Hearing Site: Washington, DC
| | $225 |
| 07-02391 | 02/05/2008 | Claimant(s): David N. Fogg & Jane D. Fogg
Claimant Lawyers(s): David N. Fogg
Respondent(s): John McGovern, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen Adams
Arbitrator(s): Elizabeth A. Copley
Hearing Site: Los Angeles, CA
| | $900 |
| 05-06272 | 02/04/2008 | Claimant(s): Sheila Whitcomb
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Stephen Z. Frank, William Norton
Hearing Site: Manchester, NH
| | Stipulated Award |
| 06-02597 | 02/04/2008 | Claimant(s): See More Light Investments
Claimant Lawyers(s): Seymour Licht
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Victor B. Taube, Joseph F. Gross, John H. Fearnow
Hearing Site: Phoenix, AZ
| | $0 |
| 07-00121 | 02/04/2008 | Claimant(s): Erich Klein
Claimant Lawyers(s): Frederick J. Lanshe
Respondent(s): Douglas Woolley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Olney
Arbitrator(s): Joseph L. Farrell
Hearing Site: Philadelphia, PA
| | $0 |
