| 06-02538 | 10/31/2007 | Claimant(s): Bernard McDaniel
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Daniel Fais, Kevin Murphy, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Timothy F. Shanahan
Hearing Site: Boston, MA
|  | Stipulated Award and Expungement |
| 06-03942 | 10/31/2007 | Claimant(s): The Estate of Sydney G. Smith, Jr.
Claimant Lawyers(s): Bradley R. Hoyt
Respondent(s): Raffi Oghlian, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, Raffi Oghlian
Arbitrator(s): Amelia F. Adams, Stuart Arthur Reagan, Peter F. von Meister
Hearing Site: Cincinnati, OH
| | $30,000 |
| 07-01211 | 10/31/2007 | Claimant(s): Norman Foster
Claimant Lawyers(s): Norman A. Foster
Respondent(s): Edward Jones
Respondent Lawyers(s): Lynette D. McCloud
Arbitrator(s): Donald H. Loudon
Hearing Site: Kansas City, MO
| | $13,307 |
| 07-01600 | 10/31/2007 | Claimant(s): Patricia Slatten
Claimant Lawyers(s): Clell I. Cunningham
Respondent(s): Brandy Barnes, Bosc.
Respondent Lawyers(s): Paul DeMuro
Arbitrator(s): Robert Steven Haught
Hearing Site: Oklahoma City, OK
| | $213 |
| 06-00811 | 10/30/2007 | Claimant(s): Grace Weber, Elwood and Grace Weber
Claimant Lawyers(s): Michael P. McClaren
Respondent(s): Advest., Edward Carlsen, Merrill Lynch Pierce Fenner & Smith Inc., Roger Faulring
Respondent Lawyers(s): James D. Vannah, Paul K. Stecker
Arbitrator(s): Eugene M. Setel, Karin A. Schlosser, Michael Allen Zeiler
Hearing Site: Buffalo, NY
| | $685,170 |
| 06-02459 | 10/30/2007 | Claimant(s): Susan Beesmyer, Beesmyer Family Trust Agreement 10/96
Claimant Lawyers(s): J. Emery Barker
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Charles W. Herf, Allan Levey, Merton E. Marks
Hearing Site: Phoenix, AZ
| | $25,000 |
| 07-01463 | 10/30/2007 | Claimant(s): John McQueston
Claimant Lawyers(s): John McQueston
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Guy K. Stewart
Hearing Site: Boca Raton, FL
| | $0 |
| 07-00479 | 10/29/2007 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Jason M. Fedo
Respondent(s): John Gordon, Jenkins-Olsen.
Respondent Lawyers(s): Company Corporation, John Gordon
Arbitrator(s): Elena G. Rodriguez, Arnold Levine, Richard H. Tierney
Hearing Site: Boca Raton, FL
| | |
| 06-04228 | 10/29/2007 | Claimant(s): Patricia Cavaness, Patricia Cavaness IRA
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Daniel Bookout
Respondent Lawyers(s): Daniel S. Bookout
Arbitrator(s): Lawrence W. Arness, Tim V. Young, Daniel P. Urban
Hearing Site: Indianapolis, IN
| | $894,320 |
| 07-00802 | 10/29/2007 | Claimant(s): Michelle Faranso, Nicholas Faranso
Claimant Lawyers(s): Richard R. Scarfone
Respondent(s): Anmar Sarafa, Steward Capital Management
Respondent Lawyers(s): Dennis Egan
Arbitrator(s): Jerome D. Sobczak, Roland L. Olzark, Stephen T. Falzone
Hearing Site: Detroit, MI
| | $0 |
