| 07-00649 | 12/14/2007 | Claimant(s): Jarrett Owens
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Greta Glavis, Franklin Geerdes, Mack Reed Christian
Hearing Site: San Diego, CA
|  | $5,601 |
| 04-06712 | 12/13/2007 | Claimant(s): Deborah Magnotta, Estate of Gloria C. Amato, Estate of Joseph T. Amato
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Melvin Steuerman, Michael T. Curley, Chester Burger
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 06-03212 | 12/13/2007 | Claimant(s): Lucille Small
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Citigroup Global Markets., Richard Olsen, Sara Farner, William Blick
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Douglas W. Oldfield, Allan Brotsky, David C. Tateosian
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 07-00219 | 12/12/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joan Toro
Respondent(s): Pamela Williams
Respondent Lawyers(s): Pamela Williams
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | $0 |
| 07-01475 | 12/12/2007 | Claimant(s): Nina Marcuccio
Claimant Lawyers(s): Ted A. Marcuccio
Respondent(s): Delta Equity Services Corporation
Respondent Lawyers(s): Scott P. Aubrey
Arbitrator(s): Richard Slavin
Hearing Site: Hartford, CT
| | $2,175 |
| 06-04316 | 12/12/2007 | Claimant(s): Yan Zhao, Amicorp Development, Ltd., Essence City, Ltd, Precise Power Holdings
Claimant Lawyers(s): General Counsel, Yan Hong Zhao
Respondent(s): Capital Growth Financial
Respondent Lawyers(s): Jason Gordon
Arbitrator(s): Marc Scott Shapiro, Ted Romanos, Martin M. Van Luven
Hearing Site: Boca Raton, FL
| | $0 |
| 04-00499 | 12/11/2007 | Claimant(s): Gene and Lynn Gautreaux
Claimant Lawyers(s): Robert V. McAnelly
Respondent(s): Elizabeth Hough, Frances Schwehr, Citigroup Global Markets., Nancy Mangham, Rickey Major
Respondent Lawyers(s): Richard F. Zimmerman, Thomas A. Roberts, Travis B. Wilkinson
Arbitrator(s): William Paul Bryan, Diane B. Elkins
Hearing Site: New Orleans, LA
| | Expungement |
| 06-04860 | 12/11/2007 | Claimant(s): Roma Senyk
Claimant Lawyers(s): Dominic Silvestri
Respondent(s): Mary Mada, Robert Uhr, Stuart Burchard, Broad Street Securities.
Respondent Lawyers(s): David Hirschberg, Robert A. Uhr
Arbitrator(s): Suzanne H Slick, Margaret A. Costello, Edward A. Porter
Hearing Site: Detroit, MI
| | $41,473 |
| 06-05223 | 12/11/2007 | Claimant(s): Ronald Warren, Shelby Warren
Claimant Lawyers(s): Thomas E. Baddley
Respondent(s): Allen Wall, Julius Kenney, Michael Cramer, A.G. Edwards & Sons., Lifesource Solutions, The Estate of Julius Franklin Kenny III
Respondent Lawyers(s): Jeffrey W. Coverdell, Neil Warner Yahn
Arbitrator(s): Gloria J Liddell, Bryan M. Reed, Clarence H. Hampton
Hearing Site: Birmingham, AL
| | $0 |
| 07-00170 | 12/11/2007 | Claimant(s): Edward McDonald
Claimant Lawyers(s): Kevin G. Diamond
Respondent(s): Paul Hess, Commonwealth Financial Network
Respondent Lawyers(s): Steven L. Manchel
Arbitrator(s): Gerard S. Marsan, Joseph Charles Kennedy, Richard D. Levin
Hearing Site: Boston, MA
| | $0 |
