| 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 |
| 06-05020 | 11/21/2007 | Claimant(s): Jerry Pinion, Mitchell Borders, Nancy Mueller, Patricia Beall, Paul Ponder
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): A.G. Edwards & Sons., Sherry Holley
Respondent Lawyers(s): Amy C. Johnson
Arbitrator(s): John R. Michael, Jan M. West, Enrico A. Mazzoli
Hearing Site: Louisville, KY
| | $0 |
| 05-02564 | 11/20/2007 | Claimant(s): Basic Investors.
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Arthur Pryor
Respondent Lawyers(s): Russell K. Bean
Arbitrator(s): F. Wesley Bowers, Sherrill Wm Colvin, James R. Cain
Hearing Site: Indianapolis, IN
| | $885,122 |
| 06-04226 | 11/20/2007 | Claimant(s): Richard Baker, Richard Baker IRA
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Daniel Bookout
Respondent Lawyers(s): Daniel S. Bookout
Arbitrator(s): Todd L. Barlow, Lawrence W. Arness, F. Wesley Bowers
Hearing Site: Indianapolis, IN
| | $696,360 |
| 06-04227 | 11/20/2007 | Claimant(s): Michael Gillespie, Michael Gillespie IRA
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Daniel Bookout
Respondent Lawyers(s): Daniel S. Bookout
Arbitrator(s): Lawrence W. Arness, Sherrill Wm Colvin, Richard J. LeDuc
Hearing Site: Indianapolis, IN
| | $737,630 |
| 04-03792 | 11/20/2007 | Claimant(s): Vincent Zagami
Claimant Lawyers(s): Gerald A. Phelps
Respondent(s): Fredrick Sundin, William Dacey, Merit Capital Associates.
Respondent Lawyers(s): Kevin J. O'Connor, Philip M. Giordano, Robert Fitzpatrick
Arbitrator(s): Chesley Oriel, Leon E. Byng, Pran N. Tiku
Hearing Site: Boston, MA
| | $501 |
| 06-04333 | 11/20/2007 | Claimant(s): Javier Covas
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Wallstreet Electronica.
Respondent Lawyers(s): Alan Wolper
Arbitrator(s): John N. Breazeale, Alberto G. Estrella, Francisco E. San Miguel
Hearing Site: San Juan, PR
| | $0 |
| 07-01442 | 11/20/2007 | Claimant(s): Raymond Marine
Claimant Lawyers(s): Raymond S. Marine
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Steven P. Gregory
Hearing Site: New Orleans, LA
| | $175 |
| 06-03017 | 11/19/2007 | Claimant(s): Conard Moose
Claimant Lawyers(s): John F. Hanzel
Respondent(s): Dennis ShidlerL fka Linsco/Private Ledger Corp.
Respondent Lawyers(s): Daniel R. D'Alberto, David J. Freniere
Arbitrator(s): John H. Griffing
Hearing Site: Charlotte, NC
| | $23,500 |
| 07-00924 | 11/19/2007 | Claimant(s): The Frank Family Limited Partnership
Claimant Lawyers(s): Steven Frank
Respondent(s): Young, Stovall and Company
Respondent Lawyers(s): Maria Flynn, Senior Vice President
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
| | $9,337 |
