| 06-04981 | 01/22/2008 | Claimant(s): Charmaine M. and Nathan F. Sherrill
Claimant Lawyers(s): Robert L. Rolnick
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): James R. Augustine, Stacey L. Barnes, Charles Leonard Smith
Hearing Site: Houston, TX
|  | $2,000 |
| 03-00505 | 01/22/2008 | Claimant(s): Jan Green
Claimant Lawyers(s): Jan Green
Respondent(s): Richard Nickles, R. Nickles & Company
Respondent Lawyers(s): Gayle L. Wilder
Arbitrator(s): Daphne D. Duverney, Donald S. Simons, Robert Rosen
Hearing Site: Los Angeles, CA
| | $0 |
| 06-05099 | 01/18/2008 | Claimant(s): David Peregrin
Claimant Lawyers(s): James A. McGurk
Respondent(s): William Kassar
Respondent Lawyers(s): James J. Eccleston
Arbitrator(s): Caroline N. Harney, Carol McHugh Sanders, Gary David Cope
Hearing Site: Chicago, IL
| | $198,297 |
| 07-01003 | 01/18/2008 | Claimant(s): Estate of George C. Tomcik
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Carl Hohnbaum, Jared D. Simmer, Steven P. Franckhauser
Hearing Site: Pittsburgh, PA
| | Stipulated Award |
| 07-02188 | 01/18/2008 | Claimant(s): Minxin Bao
Claimant Lawyers(s): Minxin Bao
Respondent(s): Firstrade Securities.
Respondent Lawyers(s): Peter Gschweng
Arbitrator(s): Lee H. Goodman
Hearing Site: Chicago, IL
| | $25,392 |
| 07-02260 | 01/18/2008 | Claimant(s): Anna I. Young Roth IRA, Frederick E. Young Roth IRA, Frederick and Anna Young Joint Tenants
Claimant Lawyers(s): Benjamin B. Siegel
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kelly R. Davis
Arbitrator(s): Ronald L. Cameron
Hearing Site: Los Angeles, CA
| | $0 |
| 03-06469 | 01/17/2008 | Claimant(s): James A. Manganiello & Wanda Stevens
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Domenic Kalil, Morgan Stanley DW Inc.
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Howard I. Wilgoren, Sharon L. Monroe, Sylvia E. Green
Hearing Site: Boston, MA
| | Stipulated Award and Expungement |
| 07-02249 | 01/17/2008 | Claimant(s): Kenneth Hughes
Claimant Lawyers(s): Russell Waxman
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Christopher J. Gawley
Arbitrator(s): Mark M. Mercier, Richard Hoffman, Charlotte F. Abington
Hearing Site: Tampa, FL
| | $0 |
| 06-05160 | 01/16/2008 | Claimant(s): Robert Milano, Robert Milano Irrevocable Life Ins. trst
Claimant Lawyers(s): Douglas P. Whipple
Respondent(s): Gregory Kopan, Butler Capital Advisors., Multi-Financial Securities Corporation, Pacific Life Insurance Company
Respondent Lawyers(s): Eric J. Weiss, Melvin G. Moseley
Arbitrator(s): Verne C. Hampton, John P. Gouttiere, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
| | $0 |
| 06-02162 | 01/15/2008 | Claimant(s): Donald P. McAdams Rev/Int Trust, Donna McAdams Rev/Int Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Christopher Wilson
Arbitrator(s): David E. Scott, Jeffrey Caleb Etter, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $31,149 |
