| 06-03193 | 10/02/2007 | Claimant(s): Debra Cascardo
Claimant Lawyers(s): Debra C. Cascardo
Respondent(s): Joseph McNally, Neal Baumann, A.G. Edwards & Sons., Stephen Condon, Thomas Condon, The Condon Group
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Kenneth B. Cutler, Kip C. Lubcke, Marvin H. Ginsky
Hearing Site: New York, NY
|  | $0 |
| 06-05133 | 10/02/2007 | Claimant(s): Sylvia Alford Bush Trust
Claimant Lawyers(s): Nancy Oliver Roberts
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Hugh C. Durbin, Gail Burke Tway, Robert M. Bath
Hearing Site: Louisville, KY
| | $0 |
| 07-00197 | 10/01/2007 | Claimant(s): Anthony and Doris Campagna Irrev. Trus
Claimant Lawyers(s): Connie Janich Hamrah
Respondent(s): Douglas Hedley, Ross Galloway, UBS Financial Services Incorporated
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Ferdinand Schoch, Harry B. Endsley, Juleanne A. Thiebaut
Hearing Site: San Francisco, CA
| | $0 |
| 07-00715 | 09/28/2007 | Claimant(s): Luther Oakes
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Irwin S. Sugerman, Leon T. Roberts, Sam T. Heuer
Hearing Site: Jackson, MS
| | $0 |
| 06-04786 | 09/27/2007 | Claimant(s): Mindy Bokser
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Andrew Israel, Anthony Kirincic, David Lindner, Jay Frost, Kirlin Securities.
Respondent Lawyers(s): Isaac M. Zucker, Jay Frost
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | Settlement |
| 05-04702 | 09/27/2007 | Claimant(s): Anthony Petchalonis
Claimant Lawyers(s): Barry H. Dyller
Respondent(s): Gary Crisci, Merrill Lynch Pierce Fenner & Smith Inc., Scott Hartshorn
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Blaine S. Greenfield, Michael D. Neft, Nickolas F. Monteforte
Hearing Site: Philadelphia, PA
| | $0 |
| 05-05589 | 09/27/2007 | Claimant(s): Thomas Hodges
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Christopher Kelts, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Robert S. Zuckerman, Frank Samuel Perri, Lisa Bass Morris
Hearing Site: Charlotte, NC
| | $0 |
| 04-01174 | 09/26/2007 | Claimant(s): Kenneth Moskowitz, Leonard Moskowitz
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): James Odorczuk, Lehman Brothers Inc, Todd Rubsamen
Respondent Lawyers(s): Brian F. McDonough
Arbitrator(s): Gerry E. Feinberg, Saul Scheier, Jean C. Black
Hearing Site: New York, NY
| | Expungement |
| 06-03506 | 09/26/2007 | Claimant(s): Deirdre North, FBO Blair A. Riddell Education Trust, FBO Blake A. Riddell Education Trust
Claimant Lawyers(s): William O. Wuester
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Bill M. Lamoreaux, Joseph J. Ligi, Larrie Alan Weil
Hearing Site: Dallas, TX
| | $0 |
| 04-00577 | 09/25/2007 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Carolyn Cohen, Larry Rothenberg, Merrill Lynch Pierce Fenner & Smith Inc., MLFPS Cust FPO Lee Container & Paper, Testamentary Trust U/W of Henry Cohen
Respondent Lawyers(s): John C. Kelly, Patrick J. Monaghan
Arbitrator(s): Richard S. Peskin, Alfred Fingerman, Demetrio S. Timban
Hearing Site: Newark, NJ
| | $0 |
