| 07-00170 | 12/11/2007 | Claimant(s): Edward McDonald
Claimant Lawyers(s): Kevin G. Diamond
Respondent(s): Paul Hess, Commonwealth Financial Network
Respondent Lawyers(s): Steven L. Manchel
Arbitrator(s): Gerard S. Marsan, Joseph Charles Kennedy, Richard D. Levin
Hearing Site: Boston, MA
|  | $0 |
| 07-01244 | 12/11/2007 | Claimant(s): Ashley Champlin, Ashley Brooke Champlin Treasury Strips
Claimant Lawyers(s): Greg P. Regier
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Ryan P. Smith
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | $0 |
| 05-05647 | 12/10/2007 | Claimant(s): Ann Rofer, Mario Rofer
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Anthony Russo, A.G. Edwards & Sons.
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Curtis H. Baer, Howard B. Brown, Frank L. Wolf
Hearing Site: Los Angeles, CA
| | $130,600 |
| 06-03917 | 12/10/2007 | Claimant(s): Norman Miller, Pauline Miller, Miller Family Foundation, Miller Charitable Remainder Trust, Miller Revocable Trust
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Bruce Graham, John Walthall, B.B. Graham & Company.
Respondent Lawyers(s): John P. Cleary, Thomas C. Frost
Arbitrator(s): Dean Schneider, Robert C. Albini, Marvin Eugene Levin
Hearing Site: Los Angeles, CA
| | $243,377 |
| 06-04865 | 12/10/2007 | Claimant(s): Kenneth Fitzpatrick
Claimant Lawyers(s): Kenneth J. Fitzpatrick
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Donald P. Wray
Arbitrator(s): Lewis R. Jaffe, George Reath, Neale Clark Bringhurst
Hearing Site: Philadelphia, PA
| | $0 |
| 06-02294 | 12/07/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Peter K. and Amy M. Barrett
Respondent Lawyers(s): Peter K. Barrett
Arbitrator(s): Marshall Passman, David L. Ruderman, Kermit C. Zieg
Hearing Site: Washington, DC
| | $0 |
| 07-01660 | 12/07/2007 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Sam Aaron and Erika M. Adams
Respondent Lawyers(s): Sam Aaron
Arbitrator(s): Richard E. Keefe
Hearing Site: Seattle, WA
| | $0 |
| 05-02643 | 12/07/2007 | Claimant(s): Diana Lackey, Richard Lackey, The Lackey Family Trust
Claimant Lawyers(s): Diana L. Lackey, Richard Lackey
Respondent(s): James Ahern, Casimir Capital L.P.
Respondent Lawyers(s): Sameer Rastogi
Arbitrator(s): Phillip Lee Scheldt, John Courtade, Preston Deaton Rigsby
Hearing Site: Dallas, TX
| | $98,719 |
| 06-03985 | 12/07/2007 | Claimant(s): Edward Steves
Claimant Lawyers(s): Edward L. Steves
Respondent(s): Chad Curtis
Respondent Lawyers(s): Chad Austin Curtis
Arbitrator(s): Stuart K. Furman
Hearing Site: Orlando, FL
| | $3,103 |
| 07-01827 | 12/07/2007 | Claimant(s): Betty Jean Davis IRA
Claimant Lawyers(s): Betty Jean Davis
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kelly R. Davis
Arbitrator(s): F. Richard Middaugh
Hearing Site: Helena, MT
| | $0 |
