| 06-02304 | 08/15/2008 | Claimant(s): Norman Hellerud
Claimant Lawyers(s): Patrick N. Keegan
Respondent(s): Bruce Oakes
Respondent Lawyers(s): Bruce D. Oakes
Arbitrator(s): Stephen R. Clark, James O. Johnson, Vytas Tarulis
Hearing Site: San Diego, CA
|  | $0 |
| 07-03450 | 08/15/2008 | Claimant(s): Gary Marsico, Gary W. Marsico, IRA
Claimant Lawyers(s): Robert W. Goehring
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Clifford E. Marstiller, Michael R. Stabile, Robert G. Geeseman
Hearing Site: Pittsburgh, PA
| | $225 |
| 06-02058 | 08/14/2008 | Claimant(s): Jordan Alan, Ad. of Estate of Beth Schim
Claimant Lawyers(s): Mark E. Overland
Respondent(s): Brett Briggs, James Copping
Respondent Lawyers(s): Daniel D. Dydzak, Jeffrey S. Kob
Arbitrator(s): George L. Tindall, Kendall C. Reed, George Frederick Garris
Hearing Site: Los Angeles, CA
| | $12,645 |
| 07-02447 | 08/14/2008 | Claimant(s): Bernice Kramer
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Leighton Applefeld
Respondent Lawyers(s): Leighton David Applefeld
Arbitrator(s): Randy R. Freedman, Lanny M. Leff, David Rich
Hearing Site: Boca Raton, FL
| | $1,121,910 |
| 07-01228 | 08/14/2008 | Claimant(s): Puccinelli PRFT Shr TT 2-1-84, Puccinelli Retire Tst 6-26-00, Puccinelli Trust 10-1-1998
Claimant Lawyers(s): Douglas P. Whipple
Respondent(s): Brian Bruscino, NatCity Investments., National City Insurance Group.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): James A. Laurenson, James Dale Ellis, Scott C. Matasar
Hearing Site: Cleveland, OH
| | $0 |
| 08-00068 | 08/14/2008 | Claimant(s): Shirley Paessler
Claimant Lawyers(s): Shirley Kathleen Paessler
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Herbert Murez
Hearing Site: Las Vegas, NV
| | $0 |
| 07-01765 | 08/13/2008 | Claimant(s): Charles Westley, Mary Westley, Charles Ross Westley Life Ins. Revoc., Westley Living Trust
Claimant Lawyers(s): James S. Helfrich
Respondent(s): All-Vest Securities.
Respondent Lawyers(s): Richard Virzera
Arbitrator(s): Michelle D. Conklin, Thomas R. Bromberg, James Gary Fitch
Hearing Site: Denver, CO
| | $133,000 |
| 07-03435 | 08/13/2008 | Claimant(s): Paul Vagnozzi, Estate of Charlotte Vagnozzi
Claimant Lawyers(s): Richard DeVita
Respondent(s): Enrico Caiazzo, UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Martin Kobak, John L. Braxton, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | $0 |
| 06-02002 | 08/12/2008 | Claimant(s): Juluru Rao
Claimant Lawyers(s): Kim Steven Juhase
Respondent(s): Mark Ketner, Investec Ernest & Company
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Sandralin J. Kiss, Renee S. Rothschild, Sharon A. McCloskey
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 07-01849 | 08/12/2008 | Claimant(s): Allan Varah
Claimant Lawyers(s): Dena N. Varah
Respondent(s): Mark Wesley, Synery Investment Group
Respondent Lawyers(s): Jeffrey D. Jones
Arbitrator(s): Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $13,196 |
