| 02-03268 | 10/17/2008 | Claimant(s): Ikho Kang IRA, Ikho & Unsoon Kang
Claimant Lawyers(s): Christopher Mader
Respondent(s): Barbara Ralston, Charles Lazzaro, John Openshaw, Katrina Dudley, First Wall Street Corporation
Respondent Lawyers(s): Brandon S. Reif, Patrick Baldwin
Arbitrator(s): James M. Donovan, Michael W. Burnett, Thomas R. Watkins
Hearing Site: Los Angeles, CA
|  | Expungement |
| 06-05246 | 10/17/2008 | Claimant(s): Valentine Pitheckoff
Claimant Lawyers(s): Valentine Pitheckoff
Respondent(s): Louis Liberatore, Great Eastern Securities.
Respondent Lawyers(s): Derick Johnson, Louis Liberatore
Arbitrator(s): Bruce K. Isenberg, John B. Sprung
Hearing Site: New York, NY
| | $90,000 |
| 08-00302 | 10/17/2008 | Claimant(s): Curtis Harold Traylor
Claimant Lawyers(s): Curtis H Traylor
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kelly R. Davis
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | $603 |
| 06-02307 | 10/15/2008 | Claimant(s): Robert J. and Betty J. Treat
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): 1717 Capital Management Company
Respondent Lawyers(s): Natalie T. Furniss
Arbitrator(s): Mark D. Sadow, John R. Loss, Jeffrey Caleb Etter
Hearing Site: St. Louis, MO
| | $99,295 |
| 06-05368 | 10/15/2008 | Claimant(s): Ji Wei
Claimant Lawyers(s): Bruce J. Rome
Respondent(s): Credit Suisse Securities (USA) LLC, Zhu Jun, Natural Flow Limited
Respondent Lawyers(s): Brian F. Amery, Bruce J. Rome, Jason P. Lee
Arbitrator(s): Charles E. Farnsworth, Jerold R. Babin, James S. Martin
Hearing Site: San Francisco, CA
| | Stipulated Award |
| 07-02871 | 10/15/2008 | Claimant(s): Thomas Ferencak
Claimant Lawyers(s): David L. McGee
Respondent(s): Joseph Ciliberti, Scottrade.
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Fred M. Ridolphi, Charles A. Bosworth, Alton B. Lewis
Hearing Site: New Orleans, LA
| | Stipulated Award and Expungement |
| 07-01887 | 10/14/2008 | Claimant(s): G. Perros
Claimant Lawyers(s): Alex Coulter Cross
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Kenneth A. Bravo
Arbitrator(s): Alex H. Keller, Randall S. Strause, Jarrett Andrew Jacobs
Hearing Site: Louisville, KY
| | $128,920 |
| 08-00668 | 10/14/2008 | Claimant(s): David Hicks, John Gilchrist, Nancy Frasier
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Douglas Crowe, MetLife Securities., Metropolitan Life Insurance Company
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Irving M. Shlesinger, David L. Walby, Samuel C. Johnson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 07-03489 | 10/14/2008 | Claimant(s): Miguel A. Falcon and Marta Ortiz-Cruz
Claimant Lawyers(s): Elba Sanchez-Gonzalez
Respondent(s): Citigroup Global Markets Puerto Rico Inc
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Elena G. Rodriguez, Jonathan H. Parker, Reinaldo Royo
Hearing Site: San Juan, PR
| | $0 |
| 03-00419 | 10/10/2008 | Claimant(s): Melanie Vlosky
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Alison Naylor, Brian Jensen, 1717 Capital Management Company
Respondent Lawyers(s): Brian Jensen, Christopher C. Coss
Arbitrator(s): John F. Heimerdinger, Michael E. Silverman, Daniel M. Mandil
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
