| 06-04869 | 11/08/2007 | Claimant(s): A. Flannery, Tolman Flannery
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Wachovia Securities, William Muehlhauser
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Ronald B. Schwartz, Ann Breen-Greco, Michael Stephen Knight
Hearing Site: Chicago, IL
|  | $293,660 |
| 06-05019 | 10/22/2007 | Claimant(s): Steven Rothstein
Claimant Lawyers(s): Steven A. Rothstein
Respondent(s): Ross Mandell, Sky Capital LLC
Respondent Lawyers(s): Eric Rosenberg
Arbitrator(s): Sheldon M. Pekin, Steven Samson, Michael Steinberg
Hearing Site: Chicago, IL
| | |
| 06-02742 | 10/19/2007 | Claimant(s): Robert Sam, North Star Basements., Karen K. Auksi-Sam, IRA
Claimant Lawyers(s): Robert Sam
Respondent(s): Edward Jones
Respondent Lawyers(s): Loren Schechter
Arbitrator(s): Ann Breen-Greco, David E. Neely, Lisa A Randall-Haag
Hearing Site: Chicago, IL
| | $0 |
| 06-04895 | 10/12/2007 | Claimant(s): Anthony Ivankovich
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S Clareman
Arbitrator(s): Sanford J. Prizant, James J. Eccleston, Ahmed A. Patel
Hearing Site: Chicago, IL
| | Stipulated Award |
| 06-01546 | 09/05/2007 | Claimant(s): Eric Ginzburg
Claimant Lawyers(s): Eric J. Ginzburg
Respondent(s): Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Scott M. Krantz, Donald W. McKenzie, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | $0 |
| 07-00973 | 08/16/2007 | Claimant(s): Delia Vega
Claimant Lawyers(s): Jeffrey M. Gershon
Respondent(s): Jose Lopez, Oberweis Securities.
Respondent Lawyers(s): Joseph C. Wylie
Arbitrator(s): Thomas S. Wallace
Hearing Site: Chicago, IL
| | $0 |
| 06-02899 | 08/09/2007 | Claimant(s): Vincent Tribo
Claimant Lawyers(s): Helen B Bloch
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Donald P. Wray
Arbitrator(s): Stuart M. Widman, Sheldon I. Saitlin, Thomas E. Haviland
Hearing Site: Chicago, IL
| | $0 |
| 06-00281 | 08/06/2007 | Claimant(s): Elizabeth Purcell
Claimant Lawyers(s): Michael B. Roche
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Stuart M. Widman, Jeffrey W. Finke, Irving A. Chesler
Hearing Site: Chicago, IL
| | |
