| 05-00937 | 11/27/2007 | Claimant(s): Li Li
Claimant Lawyers(s): Li Li
Respondent(s): Alex Shaw, White Pacific Securities.
Respondent Lawyers(s): Robert T. Sullwold
Arbitrator(s): Robin Lynn Berry, Alan P. Fraser, Dennis Markham Smith
Hearing Site: San Francisco, CA
|  | $0 |
| 06-02913 | 11/27/2007 | Claimant(s): Darrell W. and Diana M. Williams
Claimant Lawyers(s): Mark T. Womack
Respondent(s): Ameriprise Financial Services., Stephen Hamilton, IDS Life Insurance Company
Respondent Lawyers(s): Thomas A. Roberts
Arbitrator(s): Thomas H. Griffin, W. Merrill Glasgow, Alan M. Holzberg
Hearing Site: Houston, TX
| | $0 |
| 07-00582 | 11/27/2007 | Claimant(s): Laura Hammond, Michael Hammond, Sports Etc II. Profit Sharing
Claimant Lawyers(s): Michael F. Hammond
Respondent(s): David Sidwell, John Riley, Morgan Stanley DW Inc., Citigroup Global Markets
Respondent Lawyers(s): Raul Sanchez, Susan Poder MacFarlane
Arbitrator(s): Byron Alexander Menides, Edward Joseph Boudreau, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
| 06-01149 | 11/26/2007 | Claimant(s): Quinault Indian Nation
Claimant Lawyers(s): Carl J. Carlson
Respondent(s): Keybanc Capital Markets Inc., David Hohimer, Michelle Hansen
Respondent Lawyers(s): Rudy Englund, Shannon L. McDougald
Arbitrator(s): Michael W. Reinhardt, John F. Cockburn, Laurie E. Law
Hearing Site: Seattle, WA
| | $391,766 |
| 06-04633 | 11/26/2007 | Claimant(s): Robert and Saundra Koenigsberg
Claimant Lawyers(s): Robert and Saundra Koenigsberg
Respondent(s): Debra Mamber, Citigroup Global Markets.
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Thomas E. Mehrtens
Hearing Site: New York, NY
| | $0 |
| 07-00873 | 11/23/2007 | Claimant(s): Gloria Yarborough
Claimant Lawyers(s): Gloria Jean Yarborough
Respondent(s): Lyle Finley, Suntrust Investment Services.
Respondent Lawyers(s): Carrie Anne Orlikowski
Arbitrator(s): Thomas W. Steed
Hearing Site: Raleigh, NC
| | $0 |
| 04-05847 | 11/21/2007 | Claimant(s): Gus Kyrkostas and Julie Kyrkostas
Claimant Lawyers(s): Richard M. Roth
Respondent(s): Harry Kroft, Harvey Permutt, UBS Financial Services Inc., Morgan Stanley DW Inc., Richard Jenkin, Stratis Zaferiou, Theo Zaferiou
Respondent Lawyers(s): Marianne Yen, Noah Weissman
Arbitrator(s): Christal J. Henner, Gary W. Sherbell, Cynthia A. DiMarco
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 06-04414 | 11/21/2007 | Claimant(s): Rosalind Drabin, Henry and Rosalind Drabin
Claimant Lawyers(s): Scott L. Silver
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): April M. Chung
Arbitrator(s): Melvin Jarolem, Raymond W. Snow, Mauricio Arcadier
Hearing Site: Boca Raton, FL
| | $571,495 |
| 05-03923 | 11/21/2007 | Claimant(s): Ronald and Donna Lapera
Claimant Lawyers(s): Charles C. Hunter
Respondent(s): Citigroup Global Markets., Keith Silver, Thomas Locastro
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Dennis C. Meyerson, Selma Moy, John J. Duval
Hearing Site: New York, NY
| | $0 |
| 06-01699 | 11/21/2007 | Claimant(s): Mildred Bierce, Mildred E. Bierce IRA
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): John J. Fitzpatrick, William Michael Samsel, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $250 |
