| 06-02395 | 08/24/2007 | Claimant(s): James Rusciano
Claimant Lawyers(s): Larry Kars
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Michael Busco
Respondent Lawyers(s): Dan A. Rosenbaum, David J. Butler
Arbitrator(s): Cynthia A. DiMarco, Andrew H. Freund, Robert T. Costello
Hearing Site: New York, NY
|  | Stipulated Award and Expungement |
| 07-00171 | 08/22/2007 | Claimant(s): Dianne Bergman
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): Gregory Goldstein, Stanislav Kaminsky, Steven Cohen, Marquis Financial Services.
Respondent Lawyers(s): David Hirschberg, Martin P. Unger, Stanislav Kaminsky
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | $3,289 |
| 06-00535 | 08/20/2007 | Claimant(s): Robert Dentice
Claimant Lawyers(s): Howard S. Meyers
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Jay S. Berke
Arbitrator(s): Joseph J. Leegan, Sanford S. Stevens, Russell Stine Heckler
Hearing Site: New York, NY
| | |
| 05-05363 | 08/16/2007 | Claimant(s): Umesh Tandon
Claimant Lawyers(s): David Marek
Respondent(s): Advest.
Respondent Lawyers(s): Daniel S. Cahill
Arbitrator(s): Neil G. Gargiulo, Richard S. Peskin, John Cleaveland Palmer
Hearing Site: New York, NY
| | |
| 06-02688 | 08/15/2007 | Claimant(s): Stanley Quelle
Claimant Lawyers(s): Tracey S. Bernstein
Respondent(s): Ehrenkrantz King Nussbaum
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Joshua Mark Zucker, Philip Rachmelowitz, Alice Holly Oshins
Hearing Site: New York, NY
| | |
| 06-02864 | 08/15/2007 | Claimant(s): Sheldon Spitz, Sheldon and Olivia Spitz, Spitz Family Partnership
Claimant Lawyers(s): Seth Muraskin
Respondent(s): Jeffrey Harriton, TimeCapital Securities Corporation
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Eric P. Nachman, Rory M. McLaughlin, Philip S. Wellman
Hearing Site: New York, NY
| | $0 |
| 07-01122 | 08/13/2007 | Claimant(s): Carlo Rossell
Claimant Lawyers(s): Carlo E. Rossell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carol B. Trask
Arbitrator(s): Brenna L. Stewart
Hearing Site: New York, NY
| | |
| 04-04516 | 08/13/2007 | Claimant(s): Andrew Warshaw, Florence Rosenwein, George Whalen, Lorraine Whalen, Louis Rosenwein, Meredith Rosenwein, Sari Rosenwein, M. Rosenwein cust. Robert Rosenwein, Sari R. Rosenwein Cust Sydney Warshaw, Sari Rosenwein Cust. for Seth Warshaw, G. Whalen FBO Meredith Rosenwein, Lorraine Reich Whalen Trust, M. Rosenwein FBO M. Rosenwein, et al., M. Rosenwein TTEE FBO Jordan Rosenwein, M. Rosenwein TTEE FBO Robert Rosenwein
Claimant Lawyers(s): Mark M. Rottenberg
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): James Lico
Arbitrator(s): Louis H. Miron, Mary L. Merkle, Joel P. Mellis
Hearing Site: New York, NY
| | $0 |
| 05-06076 | 08/10/2007 | Claimant(s): Saralyn Ingram
Claimant Lawyers(s): Robert Grant
Respondent(s): Ameriprise Financial Services., Kenneth DiCairano
Respondent Lawyers(s): Michael Zaretsky
Arbitrator(s): Martin H. Zern, Mary Ellen Burns, Eric Howard Kunis
Hearing Site: New York, NY
| | $0 |
| 06-01926 | 07/30/2007 | Claimant(s): Charles Ostrove
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Linda S. Cole, Paul R. Walsh, Michael F. Greco
Hearing Site: New York, NY
| | |
