| 06-04885 | 10/15/2007 | Claimant(s): Neil Roberts
Claimant Lawyers(s): Neil E. Roberts
Respondent(s): Citigroup Global Markets., Robert Snyder
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Harold N. Mack
Hearing Site: Boston, MA
|  | $0 |
| 06-04895 | 10/12/2007 | Claimant(s): Anthony Ivankovich
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S Clareman
Arbitrator(s): Sanford J. Prizant, James J. Eccleston, Ahmed A. Patel
Hearing Site: Chicago, IL
| | Stipulated Award |
| 06-03638 | 10/12/2007 | Claimant(s): Sondra and Solomon Roseman
Claimant Lawyers(s): Louis M. Barbone
Respondent(s): Daniel Butler, Raymond James Financial Services.
Respondent Lawyers(s): Joseph L. Larrinaga
Arbitrator(s): Linda T. Pellegrino, Chris P. Drucker, Dwight Wassong
Hearing Site: Newark, NJ
| | $0 |
| 06-03915 | 10/12/2007 | Claimant(s): Richard Nadler
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Wells Fargo Investments, Wells Fargo Brokerage Services
Respondent Lawyers(s): Lawrence T. Hofmann
Arbitrator(s): Jack D. Elmquist, Jeffrey W. Jacobs, Bradley A. Erickson
Hearing Site: Minneapolis, MN
| | $0 |
| 07-00367 | 10/12/2007 | Claimant(s): Stephen Clement
Claimant Lawyers(s): Stephen P. Clement
Respondent(s): Jon Newman
Respondent Lawyers(s): Andrew W. Bonekemper
Arbitrator(s): Ronnie Steinkoler, Paul Schiffres, Cynthia A. DiMarco
Hearing Site: New York, NY
| | $0 |
| 07-00466 | 10/12/2007 | Claimant(s): Michael Airhart and Amy Airhart
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Jake Carriker, Riverstone Wealth Management.
Respondent Lawyers(s): John Courtade
Arbitrator(s): Steve R. Neuman, Kathy R. Holler, Robert P. Houston
Hearing Site: Houston, TX
| | $0 |
| 06-02898 | 10/11/2007 | Claimant(s): Ellen Gibson, Harry Gibson, Harry and Ellen Gibson Family Trust
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Thomas Gau, AIG Financial Advisors., Oregon Pacific Financial Advisors
Respondent Lawyers(s): Samuel Y. Edgerton
Arbitrator(s): Brian L. Spahr, Benjamin F. Breslauer, Frank L. Wolf
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 06-05403 | 10/11/2007 | Claimant(s): Elizabeth deStwollinski, Lance deStwolinski, Lance deStwolinski Revocable Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Michael P. Manly
Arbitrator(s): Rhonda S. McCarthy, Frederick S. Cassman, Lawrence P. McLellan
Hearing Site: Omaha, NE
| | $0 |
| 04-07111 | 10/10/2007 | Claimant(s): Michael Distefano
Claimant Lawyers(s): Brian J. Neville
Respondent(s): David Chepauskas, Summit Equities.
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Harry D. Frisch, Anthony P. Connolly, Joseph F. Kelley
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 06-02094 | 10/10/2007 | Claimant(s): Sidney and Sandra Levy
Claimant Lawyers(s): Ronald P. Weil
Respondent(s): Wachovia Securities, Robert DeForest
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Kalman J. Lester, Berthold T. Berkwich, Martin P. Bergman
Hearing Site: Boca Raton, FL
| | $382,600 |
