| 07-01108 | 12/26/2008 | Claimant(s): D&H Claims Services., H&H Agency., Sterling Casualty Insurance Company
Claimant Lawyers(s): David J. Darnell
Respondent(s): J.P. Morgan Securities, Oppenheimer & Co.., Michael Horaney
Respondent Lawyers(s): Mitchell J. Albert, Neal S. Robb, Robert J. Girard
Arbitrator(s): Elliott David Finkel, Kenneth I. Rosenblum, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
|  | $138,200 |
| 07-03387 | 12/24/2008 | Claimant(s): Marilyn Bloch
Claimant Lawyers(s): Marilyn Bloch
Respondent(s): LPL fka Linsco/Private Ledger Corp., Teresa DiLorenzoL Financial Services ( part of LPL)
Respondent Lawyers(s): Amanda C. Hawley, Kathy M. Klock
Arbitrator(s): Charles Hoffman, Herbert Schwartz, Richard J. Kaplan
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 07-02937 | 12/23/2008 | Claimant(s): Anat Cole, Steven Cole
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Barry Goldstein, Ryan Shaw, Gunnallen Financial.
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Michael D. Patterson, Elizabeth K. Bransdorfer, Thomas W. Lawson
Hearing Site: Detroit, MI
| | $35,000 |
| 05-03162 | 12/22/2008 | Claimant(s): James Bailey, Jeri Ghosh, Ken Powell, Leon Hadley, Leonard Gray, Marie Paulzak, Richard Powell, Rick Powell
Claimant Lawyers(s): David L. McGee, George S. Trevor, Jeri M. Ghosh, Marie Josee Paulzak, Peter J. Mougey
Respondent(s): Gary Paulzak, Jayanta Ghosh, Patrick Collins, Spelman & Co..
Respondent Lawyers(s): Gary Paulzak, George D. Fagan, Jayanta Ghosh, Mickey Wright
Arbitrator(s): Ron C. Christner, John J. Meyer, James Francis Donovan
Hearing Site: New Orleans, LA
| | Settlement |
| 07-00350 | 12/22/2008 | Claimant(s): Jose. E. Cruz, IRA
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Cheryl R. Kershner, James Conrad Riewerts, Sharon Truluck Maier
Hearing Site: San Francisco, CA
| | $75,000 |
| 04-05979 | 12/22/2008 | Claimant(s): Elliott Haines
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Baltimore, MD
| | $0 |
| 07-02967 | 12/22/2008 | Claimant(s): Albert Sims and Mindy Sims
Claimant Lawyers(s): Albert Sims
Respondent(s): Nancy Baker, A.G. Edwards & Sons.
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Lisa M. Mezzetti
Hearing Site: Washington, DC
| | $0 |
| 03-05275 | 12/19/2008 | Claimant(s): Joseph Webber
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Diana A. Weiner
Hearing Site: Tampa, FL
| | $12,344 |
| 06-01615 | 12/19/2008 | Claimant(s): Nancy Wolin
Claimant Lawyers(s): Alicia Santana Torres
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew Thibaut
Arbitrator(s): Sanford M. Naiditch, Brian William Schremp, Kenneth E. Merklen
Hearing Site: Boca Raton, FL
| | $0 |
| 08-00685 | 12/18/2008 | Claimant(s): Dennis Rosenstock
Claimant Lawyers(s): James D. Portman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Robert J. Ruben, Elizabeth A. Copley, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
