| 08-00597 | 12/15/2008 | Claimant(s): Nigel Roth
Claimant Lawyers(s): Steven J. Gard
Respondent(s): Donald Wojnowski, Empire Financial Group.
Respondent Lawyers(s): Joshua A. Katz
Arbitrator(s): Stuart Harvey Ziegler, Les R. Campbell, Theodore Israel Herold
Hearing Site: Boca Raton, FL
|  | $0 |
| 08-00256 | 12/12/2008 | Claimant(s): EKN Financial Services.
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): Jazz Singh, Jason Associates.
Respondent Lawyers(s): Jazz Singh, President or Compliance Officer
Arbitrator(s): Jack Friedman, Joseph B. Russell, Richard D. Levin
Hearing Site: New York, NY
| | $0 |
| 08-00576 | 12/12/2008 | Claimant(s): Heather Lynch
Claimant Lawyers(s): Clinton R. Black
Respondent(s): Andrew Martin, Morgan Stanley & Co.
Respondent Lawyers(s): John L. Castelly
Arbitrator(s): Richard F. Bieker, Robert T. Reeves, Barrett W. Freedlander
Hearing Site: Baltimore, MD
| | $236,394 |
| 08-01260 | 12/12/2008 | Claimant(s): Sidney Chertock
Claimant Lawyers(s): Gene Chertock
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s):
Hearing Site: New York, NY
| | $21,750 |
| 04-05898 | 12/12/2008 | Claimant(s): Melvin A. Guillory IRA
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Jason G. Ourso
Hearing Site: New Orleans, LA
| | $0 |
| 06-04160 | 12/12/2008 | Claimant(s): Karen Wagner
Claimant Lawyers(s): Bart Heemskerk
Respondent(s): Gerald Kalish, RBC Dain Rauscher.
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): Robert M. Singer
Hearing Site: Hartford, CT
| | $0 |
| 07-03487 | 12/10/2008 | Claimant(s): Vincent P. Miraglia, MD, PA, Trustee
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Marie G. Peterson, Barry S. Shanbron, James Chris Mills
Hearing Site: Boca Raton, FL
| | $0 |
| 07-01978 | 12/09/2008 | Claimant(s): Mondofin Inc., Mondofin Inc. No. 23, Mondofin Inc. No. 24, Mondofin Inc. No. 33
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Jonathan Robbins
Arbitrator(s): Alfred E. Monahan, Guenter S. Cohn, Gino Dante Serpe
Hearing Site: San Diego, CA
| | $0 |
| 07-03116 | 12/05/2008 | Claimant(s): Janice Owen
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): Summit Brokerage Services.
Respondent Lawyers(s): Francis M. Curran
Arbitrator(s): John P. Cullem, Oscar W. Carlson, David M. Snyder
Hearing Site: Clearwater, FL
| | $34,632 |
| 07-03476 | 12/05/2008 | Claimant(s): Virginia McGaughran, Omega Psychology Center.
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Steven N. Ainbinder, Michael T. Williams, Harold S. Stern
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
