| 04-02939 | 10/31/2007 | Claimant(s): Pro-Integrity Securities.
Claimant Lawyers(s): William Perry
Respondent(s): Jeffrey Rubin
Respondent Lawyers(s): Jeffrey S. Rubin
Arbitrator(s): James A. Mullin, Lucia A. Aschettino, W. Jeffrey Weinlandt
Hearing Site: New York, NY
| | |
| 07-00886 | 10/29/2007 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): David Mikhlin
Respondent Lawyers(s): Raymond D. Radow
Arbitrator(s): Stanley F. Meyerson, Arnold L. Goren, Marilyn J. Salzman
Hearing Site: New York, NY
| | |
| 04-00832 | 10/25/2007 | Claimant(s): Georgette Amato, Joseph Amato, JJR Realty Co.
Claimant Lawyers(s): Monica E. De Los Rios
Respondent(s): Joseph Berkery, Merrill Lynch Pierce Fenner & Smith Inc., Mike Leber
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Dennis C. Meyerson, Frank Irizarry, Allen D. Unterweiser
Hearing Site: New York, NY
|  | Stipulated Award and Expungement |
| 06-04998 | 10/24/2007 | Claimant(s): Richard Streisfeld
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Michael Ross, Sherri L. Hughes, Lawrence J. Roth
Hearing Site: New York, NY
| | |
| 07-01570 | 10/24/2007 | Claimant(s): Oleg Bychkov
Claimant Lawyers(s): Oleg Bychkow
Respondent(s): Frank Monte
Respondent Lawyers(s): Frank Rocco Monte
Arbitrator(s): Maria C. Hermida
Hearing Site: New York, NY
| | |
| 06-03972 | 10/24/2007 | Claimant(s): George Nordike
Claimant Lawyers(s): George Nordike
Respondent(s): Israel Epstein, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Olney
Arbitrator(s): Barbara J. Glenns, Annette B. Meyers, James M. Rhodes
Hearing Site: New York, NY
| | $250 |
| 06-02262 | 10/18/2007 | Claimant(s): Richard Kates
Claimant Lawyers(s): James A. Batson
Respondent(s): GFI Securities LLC
Respondent Lawyers(s): David J. Clark
Arbitrator(s): Richard D. Chusid, Herbert Z. Geiger, Jay L. Zelesnick
Hearing Site: New York, NY
| | |
| 06-00972 | 10/15/2007 | Claimant(s): The Gorak Foundation Trust
Claimant Lawyers(s): Daniel L. Carroll
Respondent(s): Dean Friedman
Respondent Lawyers(s): Brett Sherman
Arbitrator(s): Diane Ciccone, Linda S. Cole, Walter M. Schackman
Hearing Site: New York, NY
| | $22,342 |
| 07-00367 | 10/12/2007 | Claimant(s): Stephen Clement
Claimant Lawyers(s): Stephen P. Clement
Respondent(s): Jon Newman
Respondent Lawyers(s): Andrew W. Bonekemper
Arbitrator(s): Ronnie Steinkoler, Paul Schiffres, Cynthia A. DiMarco
Hearing Site: New York, NY
| | $0 |
| 04-08311 | 10/11/2007 | Claimant(s): Prime Capital Services.
Claimant Lawyers(s): Ted Finkelstein
Respondent(s): David Conkling, Raymond Derobbio
Respondent Lawyers(s): John E. Lawlor, Ted Finkelstein
Arbitrator(s): Donald C. Geiszler, Robert E. Anderson, Harvey Casher
Hearing Site: New York, NY
| | |
