| 07-01589 | 12/06/2007 | Claimant(s): Fiduciary Trust Co NH Cust FBO John P.
Claimant Lawyers(s): John P. Lake
Respondent(s): Jeff Whitaker, Waddell & Reed
Respondent Lawyers(s): Jill W. Lens
Arbitrator(s): Stephen R. Clark
Hearing Site: San Diego, CA
|  | $21,291 |
| 06-02594 | 12/06/2007 | Claimant(s): Louie Kau Wang and June Ting Wang
Claimant Lawyers(s): Joseph F. Kornicki
Respondent(s): Howard Moses, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Jim Geiger, Steven T. Stern, Richard Frank Colello
Hearing Site: Philadelphia, PA
| | $0 |
| 06-03213 | 12/06/2007 | Claimant(s): Rindy Merrifield Inc Def Ben Plan 1/00
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Michael Woods, Mutual Service Corporation
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): James S. Martin, Walter J. Huntley, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | $0 |
| 06-04130 | 12/06/2007 | Claimant(s): Estate of Harriet H. Dublon
Claimant Lawyers(s): Jack Scarola
Respondent(s): Ronnie Flint
Respondent Lawyers(s): Ronnie W. Flint - K70204/1106u
Arbitrator(s): Seth L. Finkel, Richard Anthony Jannuzzi, Sandra J. Bakalus
Hearing Site: Boca Raton, FL
| | $0 |
| 06-05136 | 12/06/2007 | Claimant(s): Elaine Pulig
Claimant Lawyers(s): Elaine L. Pulig
Respondent(s): Jean Smith, Janney Montgomery Scott LLC
Respondent Lawyers(s): Carrie L. Chelko, Jean Smith
Arbitrator(s): Paul R. Meese, Edward A. Grupp, Alfred E. Lawson
Hearing Site: Pittsburgh, PA
| | $0 |
| 07-00879 | 12/06/2007 | Claimant(s): Jodeen Fletcher
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Larry R. Trussell, Frederick B. Anderson, Jeffrey A. Bainbridge
Hearing Site: Omaha, NE
| | $0 |
| 06-04213 | 12/05/2007 | Claimant(s): Salvador Marroquin
Claimant Lawyers(s): Matthew J. Pero
Respondent(s): Isidoro Miramontes, Morgan Stanley DW Inc.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Philip W. Burge, Herbert Murez, Suzanne Viau Chamberlain
Hearing Site: Los Angeles, CA
| | Expungement |
| 05-03849 | 12/04/2007 | Claimant(s): Rodney Beck, Stacey Beck, Rodney R. Beck Living Trust d 12-05-04, Stacey Beck Living Trust dtd 12-05-94
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): William Artmann, Investacorp.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Richard Marc Weinroth, Allan D. Breyer, Karen D. Hanson
Hearing Site: Phoenix, AZ
| | $1,150,000 |
| 06-02323 | 12/04/2007 | Claimant(s): Milton and Blanche Wasserburger
Claimant Lawyers(s): Jeffrey Sonn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kent B. Frazer
Arbitrator(s): David W. Newman, Syma S. Kasdin, Eugene J. Koalkin
Hearing Site: Boca Raton, FL
| | $97,424 |
| 06-03501 | 12/04/2007 | Claimant(s): Elizabeth Greer
Claimant Lawyers(s): Romaine L. Gardner
Respondent(s): Judith Cassidy, New England Securities
Respondent Lawyers(s): Rapheal M. Rosenblatt
Arbitrator(s): Ernest Fanwick, Barnard Seligman, Renee La Verne Ross CFP
Hearing Site: New York, NY
| | $0 |
