| 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 |
| 07-03227 | 11/12/2008 | Claimant(s): Bayan Jamous, Feda Jamous
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): A.J. Keyser, Wachovia Securities, Robert Schneller
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): John J. Muldowney, Donald B. Vaden, Arthur B. O'Connell
Hearing Site: Richmond, VA
| | $525,000 |
| 08-00750 | 11/12/2008 | Claimant(s): Michael Stoltz
Claimant Lawyers(s): Michael Stoltz
Respondent(s): Barton Young, Raymond, James & Associates.
Respondent Lawyers(s): Kelli Bullington
Arbitrator(s): Bernard F. Vail
Hearing Site: Helena, MT
| | $13,671 |
| 08-01569 | 11/12/2008 | Claimant(s): John Scaramella
Claimant Lawyers(s): John Scaramella
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): James B. Eichberg, Dominic Alecci, Craig Stanley Ralston
Hearing Site: Denver, CO
| | $0 |
| 08-00102 | 11/11/2008 | Claimant(s): Hong Chan
Claimant Lawyers(s): Wai Mon Chan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Oren L. Connaway
Hearing Site: Houston, TX
| | $8,614 |
| 07-01990 | 11/10/2008 | Claimant(s): Benjamin Dwork, Ilene Bernik, Jeremy Dwork, Joann Dwork, Joshua Dwork, Matthew Dwork, Paul Dwork, Bernik Exemption Trust, Bernik Marital Trust, Ilene Dwork Bernik 2005 Revocable Trus, Paul & Joann R. Dwork Trust dtd 6/6/89
Claimant Lawyers(s): Gerard P. Fox
Respondent(s): Albert Humphrey, Gary Shemano, The Shemano Group.
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Barbara M. Zak, Jerry Ellner, Louise A. Berberian
Hearing Site: Los Angeles, CA
| | $250,000 |
| 07-03628 | 11/10/2008 | Claimant(s): David Lobato
Claimant Lawyers(s): David Lobato
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Alun Hywel Jones
Hearing Site: New York, NY
| | $0 |
| 08-00940 | 11/10/2008 | Claimant(s): Yuan Sun
Claimant Lawyers(s): Russell M. Odell
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): George F. Meierhofer
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | $425 |
| 08-00483 | 11/07/2008 | Claimant(s): Marvin Becker
Claimant Lawyers(s): Ira S. Kaplan
Respondent(s): Michael Napolitano, Signator Investors.
Respondent Lawyers(s): James J. Weller, Matthew Tracy
Arbitrator(s): Kenneth B. Cutler, Anthony Michael Sabino, Biagio A. Civale
Hearing Site: New York, NY
| | $10,000 |
| 06-04480 | 11/07/2008 | Claimant(s): Phyllis Francis
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Norris D. Wolff, William R.H. Martin, Robert A. Cohen
Hearing Site: Newark, NJ
| | $0 |
