| 07-00312 | 11/09/2007 | Claimant(s): The Estate of George Mallouk
Claimant Lawyers(s): John T. McNamara
Respondent(s): Citigroup Global Markets., Otto Betz III
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Pamela H. Roderick, Bernard Korman, Bruce Alan Whiteford
Hearing Site: New York, NY
|  | $20,000 |
| 06-03100 | 11/09/2007 | Claimant(s): Norman R. Burns, Norman R. Burns Trust
Claimant Lawyers(s): Jane Stafford
Respondent(s): Multi-Financial Securities Corp.
Respondent Lawyers(s): John Thomas
Arbitrator(s): Sanford Heiser, Joanne C. Brant, Michael Brian McCord
Hearing Site: Cleveland, OH
| | $0 |
| 06-05015 | 11/09/2007 | Claimant(s): Torsten Scholl, DEQ GMBH & Co. Venture KG
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): J.P. Morgan Securities., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph S. Simms, Timothy P. Burke
Arbitrator(s): Frank Muller, John E. Hansen, Court O. Anderson
Hearing Site: New York, NY
| | $0 |
| 06-04869 | 11/08/2007 | Claimant(s): A. Flannery, Tolman Flannery
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Wachovia Securities, William Muehlhauser
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Ronald B. Schwartz, Ann Breen-Greco, Michael Stephen Knight
Hearing Site: Chicago, IL
| | $293,660 |
| 07-01607 | 11/07/2007 | Claimant(s): Arena Capital Advisors
Claimant Lawyers(s): David Bass
Respondent(s): CopperRoad Corporation
Respondent Lawyers(s): Reginald Sanders Bruce
Arbitrator(s): Thomas W. Steed
Hearing Site: Raleigh, NC
| | $0 |
| 04-07284 | 11/07/2007 | Claimant(s): Leontina Rowe, Aurum Capital Partners, L.P.
Claimant Lawyers(s): William F. Dahill
Respondent(s): Sofia Frankel, Lehman Brothers Inc
Respondent Lawyers(s): Brian F. McDonough
Arbitrator(s): George W. Fehling, Karimu F. Hill-Harvey, Renee La Verne Ross CFP
Hearing Site: New York, NY
| | $0 |
| 06-04859 | 11/07/2007 | Claimant(s): Raul Salmon
Claimant Lawyers(s): Raul Dennis Salmon
Respondent(s): Matthew Nelson, O.N. Equity Sales Company
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): Stephen D. Kort
Hearing Site: Kansas City, MO
| | $0 |
| 07-01899 | 11/07/2007 | Claimant(s): The Estate of Alastair John Stair
Claimant Lawyers(s): Peter Alpi
Respondent(s): Matthew Ryan, PMG Securities Corporation
Respondent Lawyers(s): Elizabeth M. Hill, Matthew J. Ryan
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | $213 |
| 06-05211 | 11/06/2007 | Claimant(s): Joan Lair
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Clifford A. Harwick, Robert J. McDonnell, Robert T. Costello
Hearing Site: Newark, NJ
| | $0 |
| 06-04247 | 11/06/2007 | Claimant(s): Ethel Vidas, Ethel Vidas Trust Dtd 4/2/1997, Suc.Tr. of the Harry C. Vidas Trust
Claimant Lawyers(s): David P. Meyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wes Holston
Arbitrator(s): W. Pat Conners, Philip C. Johnston, Robert H. Griffin
Hearing Site: Cincinnati, OH
| | $91,000 |
