| 06-02580 | 09/11/2007 | Claimant(s): Sheldon P. Spitz, TTEE, SOL Spitz CO.
Claimant Lawyers(s): Seth Muraskin
Respondent(s): Jeffrey Harriton, Timecaptial Securities Corporation
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Richard W Berenger, Jacob Aschkenasy, Larry Kars
Hearing Site: New York, NY
|  | $0 |
| 07-00210 | 09/11/2007 | Claimant(s): Thomas Woolman
Claimant Lawyers(s): Thomas A. Woolman
Respondent(s): USAA Investment Management Company
Respondent Lawyers(s): Dennis A. Nowak
Arbitrator(s): W. Reece Bader, Maurice R. Dunie, Egon Guttman
Hearing Site: Washington, DC
| | $0 |
| 06-04726 | 09/10/2007 | Claimant(s): Joan Graen, Dr. George B. Graen
Claimant Lawyers(s): George B. Graen, Joan A. Graen
Respondent(s): Laura Dishman, TIAA-CREF Ind. & Inst. Services
Respondent Lawyers(s): Carranza M. Pryor, Gary P. Barket
Arbitrator(s): Sam T. Heuer
Hearing Site: Little Rock, AR
| | $4,307 |
| 06-03867 | 09/07/2007 | Claimant(s): Alfonso Pena, Alfonso C. Pena 2004 Rev. Living Trust
Claimant Lawyers(s): Drew D. Hansen, Robert A. Uhl
Respondent(s): Donald Gloisten, Gerard Gloisten, GBS Advisors, GBS Financial Corp.
Respondent Lawyers(s): Ben Suter
Arbitrator(s): James H. Frank, Dean Schneider, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | $586,095 |
| 03-04728 | 09/07/2007 | Claimant(s): Amin Merchant, Apex Trading House
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Edward So, Charles Schwab & Co.., Prudential Equity Group
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Jarrott T. Miller, Richard L. Rubin, Mario Henry Barsotti
Hearing Site: San Francisco, CA
| | $0 |
| 03-08225 | 09/05/2007 | Claimant(s): Jeff Karnes, Jeremy Voye, Sarah Hedges
Claimant Lawyers(s): Amir H. Tadjedin
Respondent(s): Citigroup Global Markets., Jack Grubman, Kevin Keating
Respondent Lawyers(s): Nancy E. Nunan
Arbitrator(s): Marshall Passman, Louis Nebel
Hearing Site: Washington, DC
| | Stipulated Award and Expungement |
| 06-02362 | 09/05/2007 | Claimant(s): Ruth Barden-Whitlow
Claimant Lawyers(s): Gregory S. Larsen
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Gordon F. Linke, Henry G. Plaster, Marvin P. Pastel
Hearing Site: Norfolk, VA
| | $42,000 |
| 06-01546 | 09/05/2007 | Claimant(s): Eric Ginzburg
Claimant Lawyers(s): Eric J. Ginzburg
Respondent(s): Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Scott M. Krantz, Donald W. McKenzie, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | $0 |
| 06-04581 | 09/05/2007 | Claimant(s): Donald Wisner
Claimant Lawyers(s): Brian J. Masternak
Respondent(s): Ahmad Wares, EKN Financial Services.
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Barry Goldman, Raymond J. Sterling, Conrad W. Koski
Hearing Site: Detroit, MI
| | $0 |
| 06-03795 | 08/31/2007 | Claimant(s): David Luther
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Chicago Investment Group
Respondent Lawyers(s): James L. Kopecky
Arbitrator(s): Marion R. Allen, G. Brooks Euler, Neil Harvey Smith
Hearing Site: Nashville, TN
| | $0 |
