| 07-00773 | 11/26/2008 | Claimant(s): Estee Gilad
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Andrew Costa, Costa Financial Securities.
Respondent Lawyers(s): Brain D. Buckstein, Brian D. Buckstein
Arbitrator(s): Steven Gerard Goerke, Alvin Spier, Lee E. Karofsky
Hearing Site: Boca Raton, FL
|  | $85,225 |
| 07-03105 | 11/26/2008 | Claimant(s): Alvin McQuinn, Alvin E. McQuinn FLITE Trust
Claimant Lawyers(s): John Cotter, Mark J. Briol
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Steven M. Malina
Arbitrator(s): Lawrence J. Welte, Robert S. Burk, Daniel D. Hill
Hearing Site: Minneapolis, MN
| | $250,000 |
| 08-01223 | 11/26/2008 | Claimant(s): Arnold Allan
Claimant Lawyers(s): Arnold Michael Allan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): Robin Lynn Berry
Hearing Site: Reno, NV
| | $0 |
| 08-01414 | 11/26/2008 | Claimant(s): Clarence Rinderle
Claimant Lawyers(s): Clarence G. Rinderle
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): Gary P. Price
Hearing Site: Indianapolis, IN
| | $325 |
| 08-00691 | 11/25/2008 | Claimant(s): Wilbur J. Simmons and Fay M. Simmons
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Kendall P. Hill, James Edward Seale, Richard David Schultz
Hearing Site: Birmingham, AL
| | $0 |
| 07-03220 | 11/25/2008 | Claimant(s): Janet Drantch
Claimant Lawyers(s): Eric J. Sussman
Respondent(s): Michael Talley, Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Joseph Giovanniello
Arbitrator(s): Daniel B. Berkson, Richard W. Cutler, Gregory J. Getz
Hearing Site: New York, NY
| | $9,998 |
| 07-03464 | 11/25/2008 | Claimant(s): Lisa Van Orman, Sandra Johnson, Casey Van Orman, The Agnes Fitzpatrick Trust, The Lisa Johnson Van Orman Trust, The Sandra F. Johnson Trust
Claimant Lawyers(s): Peter J. Aldrich
Respondent(s): Jack Chublakian, Cantella & Co..
Respondent Lawyers(s): Jack Chublakian, Joshua N. Cook
Arbitrator(s): Allan M. Lerner, Gary M. Landau, Gary King
Hearing Site: Boca Raton, FL
| | $148,105 |
| 07-02971 | 11/25/2008 | Claimant(s): Gail Berger
Claimant Lawyers(s): Lee H. Tockman
Respondent(s): Delmar Austin, Kenneth Rohr, Merrill Lynch Pierce Fenner & Smith Inc., Nora Winsberg, Timothy Cunningham
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Michael S. Matek, Frederic M. Rizzo, Irving A. Chesler
Hearing Site: Chicago, IL
| | $0 |
| 08-00432 | 11/24/2008 | Claimant(s): Harold Sweet and Georgia Sweet
Claimant Lawyers(s): David Neuman
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): David B. Coates, John A. Davis, Jay R. Robinson
Hearing Site: Little Rock, AR
| | $85,000 |
| 07-03505 | 11/24/2008 | Claimant(s): Russell Clark, Pauline Clark Revocable Trust
Claimant Lawyers(s): James H. Penick
Respondent(s): John Fortenberry, Morgan Keegan & Company.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Chet Roberts, David B. Coates, Hugh J. Moore
Hearing Site: Little Rock, AR
| | $0 |
