| 05-02132 | 11/14/2007 | Claimant(s): Harvey R. (Dick) & Kazuko Kagosoff, JT
Claimant Lawyers(s): Patrick L. Lund
Respondent(s): Wells Fargo Investments, Douglas Ivan, Wells Fargo Securities
Respondent Lawyers(s): Andrea H. Henningsen
Arbitrator(s): Philip W. Burge, Edward A. Trabin, Thomas A. Culbertson
Hearing Site: Los Angeles, CA
|  | $0 |
| 06-04176 | 11/14/2007 | Claimant(s): Anne McDowell, Joseph Richter
Claimant Lawyers(s): Joseph M. Richter
Respondent(s): Morgan Stanley DW Inc., Lydia Hopps
Respondent Lawyers(s): Cal G. Gonzales
Arbitrator(s): Robert D. Sussin, Gerald F. Corrigan, Russell T. Doe
Hearing Site: Los Angeles, CA
| | $0 |
| 07-00052 | 11/14/2007 | Claimant(s): Gordon C. and Patricia Hurlbert JT TEN
Claimant Lawyers(s): David R. Volpe
Respondent(s): Advest., Richard Sarachman
Respondent Lawyers(s): Harry D. Frisch
Arbitrator(s): William R. Gruver, Thomas R. Skulina, Albert Joseph Boucek
Hearing Site: Pittsburgh, PA
| | $0 |
| 06-02926 | 11/13/2007 | Claimant(s): Madalyn Friedberg, Stephen Friedberg, Barbara J. Friedberg Irrevocable Trust, Hilary F. Friedberg Irrevocable Trust, Jacob Friedberg Trust, Lazar David Friedberg Trust, Tyler Forrest Friedberg Trust
Claimant Lawyers(s): Leslie Trager
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Robert Manfredo, Hugh N. Fryer, April D. Bowie
Hearing Site: New York, NY
| | $162,050 |
| 06-04930 | 11/13/2007 | Claimant(s): Earl Smith
Claimant Lawyers(s): Robert J. Hinsch
Respondent(s): Adam Novick, Craig Balsam, John Engelskirger, Leonard Monteforte, Timothy Daly
Respondent Lawyers(s): Adam Matthew Novick, Craig Stuart Balsam, John William Engelskirger, Leonard Frank Monteforte, Timothy James Daly
Arbitrator(s): F. Chet Taylor, Jeffrey W. Jacobs, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $33,850 |
| 06-04367 | 11/13/2007 | Claimant(s): Charlotte Bluestein, Edward Bluestein, CHARED
Claimant Lawyers(s): Edward Bluestein
Respondent(s): Terra Nova Trading, L.L.C.
Respondent Lawyers(s): Christian T. Kemnitz
Arbitrator(s): Bruce N. Sankin, Gerald Silverman, Tamra H. Sheffman
Hearing Site: Boca Raton, FL
| | $0 |
| 07-00417 | 11/12/2007 | Claimant(s): Elizabeth Bondoc
Claimant Lawyers(s): Neda Ataie
Respondent(s): Wachovia Securities, Stephen Wilson
Respondent Lawyers(s): Peter Brown Dolan, Ryan P. Smith
Arbitrator(s): William E. Winfield, Troy C. Sumrall, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $13,713 |
| 07-01413 | 11/09/2007 | Claimant(s): New Castle Financial Services LLC
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): Joel Zubaid
Respondent Lawyers(s): Joel Zubaid
Arbitrator(s): Janice A. Salter
Hearing Site: Los Angeles, CA
| | $0 |
| 07-02051 | 11/09/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Econotek
Respondent Lawyers(s): President or Compliance Officer
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | $0 |
| 04-08200 | 11/09/2007 | Claimant(s): Barbara Davis
Claimant Lawyers(s): C. Mark Stratton
Respondent(s): Emmett Johnson, Prudential Equity Group, Warren Johnson
Respondent Lawyers(s): James M. McCown, Retta Miller
Arbitrator(s): James E. Lane, Daniel J. Pagnano, Edmund Herbert Hecht
Hearing Site: Houston, TX
| | $130,000 |
