| 08-00011 | 11/18/2008 | Claimant(s): Lois Grant
Claimant Lawyers(s): Lois A. Grant
Respondent(s): Dave Samuels, Sagepoint Financial.
Respondent Lawyers(s): Barry R. Temkin
Arbitrator(s): Robin Lynn Berry
Hearing Site: San Francisco, CA
|  | $0 |
| 08-00387 | 11/17/2008 | Claimant(s): Alberto Monti
Claimant Lawyers(s): Thomas Fleck
Respondent(s): Max International Broker/Dealer Corp.
Respondent Lawyers(s): David Isolano
Arbitrator(s): Lucas A. Ferrara
Hearing Site: New York, NY
| | $8,255 |
| 08-01310 | 11/17/2008 | Claimant(s): Martha Schallern
Claimant Lawyers(s): Martha L. Schallern
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Susan Morris
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Helen E. Huyler
Hearing Site: Atlanta, GA
| | $4,389 |
| 07-03118 | 11/17/2008 | Claimant(s): TRB Family Partners, LTD, Tom Boltz MP
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Lawrence Rule, Morgan Keegan & Company.
Respondent Lawyers(s): Alan J. Foxman, Thomas A. Roberts
Arbitrator(s): Laila Asmar Folk, David L. Giertz, Emanuel Goren
Hearing Site: Boca Raton, FL
| | $0 |
| 08-00567 | 11/17/2008 | Claimant(s): Neil Jon Tschetter & Peggy Jane Tschette
Claimant Lawyers(s): Neil Jon Tschetter
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): James B. Eichberg
Hearing Site: Cheyenne, WY
| | $0 |
| 06-01748 | 11/14/2008 | Claimant(s): Joy Phillips
Claimant Lawyers(s): Thomas C. Jardim
Respondent(s): Joseph Murphy, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowksy
Arbitrator(s): Charles L. Prothero, Irene C. Warshauer, Erica Levitt
Hearing Site: Newark, NJ
| | $4,977 |
| 05-05422 | 11/14/2008 | Claimant(s): DDIM Holdings, Riverside Holdings, L.L.P.,
Claimant Lawyers(s): William Dahill
Respondent(s): Goldman, Sachs and Company, Sofia Frankel
Respondent Lawyers(s): Michael Dell
Arbitrator(s): Michael Ross, Michael S. Lazan, Doris B. Nathan
Hearing Site: New York, NY
| | $0 |
| 07-00438 | 11/13/2008 | Claimant(s): Dan Emmerich, James Gill, Larry Vollmer, Scott Elliot
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Terry Moffatt, Sigma Financial Corporation
Respondent Lawyers(s): David M. Foster, Gary D. Saretsky
Arbitrator(s): Michael D. Patterson, Roland L. Olzark, William C. Alsover
Hearing Site: Detroit, MI
| | $0 |
| 08-00751 | 11/13/2008 | Claimant(s): Jacqueline F. and Adam P. Paulausky
Claimant Lawyers(s): Jacquline F. Paulausky
Respondent(s): Wachovia Securities, Todd Griffith
Respondent Lawyers(s): William Port
Arbitrator(s): J. Maxwell Williams
Hearing Site: Clearwater, FL
| | $163 |
| 08-01306 | 11/13/2008 | Claimant(s): Lap Chang
Claimant Lawyers(s): Lap F Chang
Respondent(s): HSBS Securities (USA) Inc.
Respondent Lawyers(s): Tracy S. Woodrow
Arbitrator(s): Denzil J. Klippel
Hearing Site: New York, NY
| | $0 |
