| 07-01474 | 01/15/2008 | Claimant(s): Norman Schlesinger
Claimant Lawyers(s): Norman M. Schlesinger
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Lori Ann Romeo
Hearing Site: New York, NY
|  | $213 |
| 07-02045 | 01/15/2008 | Claimant(s): Jane Moyle
Claimant Lawyers(s): Jane Moyle
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Susan L. Formaker
Arbitrator(s): Ronald O. Bub
Hearing Site: San Diego, CA
| | $0 |
| 03-06262 | 01/14/2008 | Claimant(s): Corene Barr, Richard A. Barr, Corene and Richard Barr
Claimant Lawyers(s): Richard A. Barr
Respondent(s): Gary Allen, Morgan Stanley DW Inc.
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): Jon A. Bostrom, Ernest L. Burnside, Annette Gres Shepherd
Hearing Site: Los Angeles, CA
| | $0 |
| 05-01070 | 01/11/2008 | Claimant(s): Begum Ahmed
Claimant Lawyers(s): Lawrence F. Ruggiero
Respondent(s): Abed Mansoor, Pershing LLC, Kashfi Sarker, Donaldson Lufkin & Jenrette Securities, Aim Resources.
Respondent Lawyers(s): Abed Mansoor, David Libowsky
Arbitrator(s): Melvin Lyon, Dennis C. Meyerson, Ann J. Parks
Hearing Site: New York, NY
| | $279,961 |
| 07-00339 | 01/11/2008 | Claimant(s): Ann Stafford, James Stafford
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): William S. Port
Arbitrator(s): Leah A. Murray, Mark E. Kessinger, David B. Lacks
Hearing Site: St. Louis, MO
| | $200,000 |
| 04-05843 | 01/08/2008 | Claimant(s): Helen Wolff, The Helen Wolff Revocable Trust
Claimant Lawyers(s): Rosalind Robertson
Respondent(s): Ernest Caponegro, Herbert Kurinsky, Patrick Flanagan, Robert Rabinowitz, William Kurinsky, First Montauk Securities Corp.
Respondent Lawyers(s): Matthew Tracy, Vincent P. Pozzuto
Arbitrator(s): Robert A. Vaccaro, Michael S. Lazan, Howard A. Baker
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 07-00690 | 01/08/2008 | Claimant(s): Skips A/S Lodd
Claimant Lawyers(s): Conrad T. Gogstad
Respondent(s): Jason Pinsky, Harrison Securities.
Respondent Lawyers(s): Frederick Blumer, Michael Utilla
Arbitrator(s): Robert S. Getman
Hearing Site: New York, NY
| | $4,850 |
| 07-01760 | 01/07/2008 | Claimant(s): Richard Littell
Claimant Lawyers(s): Richard E. Littell
Respondent(s): Keith Connolly, William Mancusi, Vision Securties.
Respondent Lawyers(s): Harry J. Delagrammatikas, William Anthony Mancusi, William Mancusi
Arbitrator(s): Joann Peters
Hearing Site: Dallas, TX
| | $2,908 |
| 07-00758 | 01/07/2008 | Claimant(s): John Rendall
Claimant Lawyers(s): Michael W. Wile
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Charles A. Gall
Arbitrator(s): Douglas A. Barr, Barry H. Barnett, James W. Warren
Hearing Site: Albuquerque, NM
| | $0 |
| 07-01608 | 01/04/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Thomas Mitchell
Respondent Lawyers(s): Thomas Mitchell
Arbitrator(s): Ronnie Edward Nichols, Glenn A. Clinefelter, John Wescoat Sandlin
Hearing Site: Columbia, SC
| | |
