| 08-00251 | 11/04/2008 | Claimant(s): Bernice Follmer, Thomas Follmer
Claimant Lawyers(s): William G. Clelland
Respondent(s): Bradley Freimark, ProEquities., Safe Harbor Retirement Solutions
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Lawrence J. Welte, Kerry C. Koep, Robert S. Burk
Hearing Site: Minneapolis, MN
|  | $300 |
| 05-00842 | 11/03/2008 | Claimant(s): Abdallah Abdallah
Claimant Lawyers(s): H. J. Rubinstein
Respondent(s): Edward Skarbnik, Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc., Salomon Brothers.
Respondent Lawyers(s): Edwin A. Zipf, Jacqueline M. Gorham
Arbitrator(s): Nathan J. Minucci, Alvin Green, Emanuel Bloom
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 07-01397 | 11/03/2008 | Claimant(s): Robert Elliott Hall
Claimant Lawyers(s): Leslie P. Poole
Respondent(s): Joseph Stevens & Company.
Respondent Lawyers(s): Michael C. Farkas
Arbitrator(s): Irving A. Chesler, Suanne F. Goldman, Richard A. Van Kalker
Hearing Site: Chicago, IL
| | $229,300 |
| 07-02742 | 11/03/2008 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Alicia Etre
Respondent(s): Gene Harshman, Karen Loeschen, Krista Savage, Merrill Lynch Pierce Fenner & Smith Inc., Richard Marcolla, Robert Barry, Thomas Cutrone, William Easterling
Respondent Lawyers(s): Curtis C. Calloway, Todd J. Kaiser
Arbitrator(s): John N. Reidy, Frederick Michael Switzer, John Bruce Witwer
Hearing Site: St. Louis, MO
| | $265,500 |
| 07-02804 | 10/31/2008 | Claimant(s): Charles Horberg, Sandra Horberg, Charles Horberg Jewelers. Pension
Claimant Lawyers(s): Eric E. Kalnins
Respondent(s): Sheldon Eisenberg, David A. Noyes & Company
Respondent Lawyers(s): Howard J. Stein
Arbitrator(s): Carmen P. Michelotti, Philip J. Glick, David M. Zimberoff
Hearing Site: Chicago, IL
| | $174,731 |
| 07-02969 | 10/31/2008 | Claimant(s): Salovich Family Trust
Claimant Lawyers(s): George V. Salovich
Respondent(s): Derek Uehara, Johanna Martin, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Edwin C. Shiver
Hearing Site: Las Vegas, NV
| | $0 |
| 08-01583 | 10/31/2008 | Claimant(s): Vincent Berarducci
Claimant Lawyers(s): Vincent J. Berarducci
Respondent(s): Optionshouse.
Respondent Lawyers(s): Lesley Smith
Arbitrator(s): Joseph L. Bernstein
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 04-03481 | 10/30/2008 | Claimant(s): JAS Holding Corporation, Jeffrey & Lauren Sardis JTWROS, Jeffrey & Lauren Sardis Jt. Ten
Claimant Lawyers(s): Dan Brecher, William F. Dahill
Respondent(s): Goldman, Sachs and Company, Sofia Frankel
Respondent Lawyers(s): Brian F. McDonough, Michael J. Dell
Arbitrator(s): Martin Jay Siegel, Dennis C. Meyerson, Michael S. Perinelli
Hearing Site: New York, NY
| | $3,500,000 |
| 06-04283 | 10/30/2008 | Claimant(s): Joseph Kernke, Blanche I. Kernke Amend R & R Trust, Joseph C. Kernke Sr. Family Trust, Kenneth V. Kernke Amend. Trust
Claimant Lawyers(s): Jerry L. Colclazier, Joseph Long
Respondent(s): Jeffrey Kernke
Respondent Lawyers(s): Joseph H. Bocock
Arbitrator(s): Steven J. Balaban, Jan Preece Gaddis, Vicki J. Limas
Hearing Site: Oklahoma City, OK
| | $23,500 |
| 07-00295 | 10/30/2008 | Claimant(s): Elaine Heng, Iona Hastings
Claimant Lawyers(s): J. L. Spray
Respondent(s): Brian Schuster, Capital Growth Financial
Respondent Lawyers(s): Brian J. Schuster, Michael Jacobs
Arbitrator(s): Peter Ordower, Philip J. Glick, Linda A. Pawlisz
Hearing Site: Omaha, NE
| | $116,000 |
