| 05-05322 | 11/11/2008 | Claimant(s): Ehrenkrantz King Nussbaum
Claimant Lawyers(s): Anthony Ottimo
Respondent(s): Anthony Ottimo, Edward Short, George Tamborello, Robert Ciaccio, Thomas Giugliano, Thomas O'Neill, Empire Financial Group Inc.
Respondent Lawyers(s): George M. Tamborello, Neil S. Baritz, Robert M. Bursky
Arbitrator(s): Henry F. Minnerop, Carroll E. Neesemann, Michael E. Silverman
Hearing Site: New York, NY
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| 08-00102 | 11/11/2008 | Claimant(s): Hong Chan
Claimant Lawyers(s): Wai Mon Chan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Oren L. Connaway
Hearing Site: Houston, TX
|  | $8,614 |
| 07-02546 | 11/10/2008 | Claimant(s): Roger Anderson
Claimant Lawyers(s): Joan A. Renegar
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Bryan J. Hurst
Arbitrator(s): G. Dale McKissick, Daniel A. Kile, Edward J. Lynch
Hearing Site: Dallas, TX
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| 08-01171 | 11/10/2008 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Will Stute
Respondent(s): Christopher Weighart
Respondent Lawyers(s): Christopher Grey Weighart
Arbitrator(s): Michael Quarto
Hearing Site: Philadelphia, PA
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| 08-01203 | 11/10/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Maurice
Respondent Lawyers(s): James Kenneth Maurice
Arbitrator(s): Roger D. Johnson
Hearing Site: Des Moines, IA
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| 08-01545 | 11/10/2008 | Claimant(s): Dawson James Securities.
Claimant Lawyers(s): Monique MacLaren
Respondent(s): Chanchal Mehta
Respondent Lawyers(s): Chanchal Mehta
Arbitrator(s): Ronald H. Walton
Hearing Site: Boca Raton, FL
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| 07-01990 | 11/10/2008 | Claimant(s): Benjamin Dwork, Ilene Bernik, Jeremy Dwork, Joann Dwork, Joshua Dwork, Matthew Dwork, Paul Dwork, Bernik Exemption Trust, Bernik Marital Trust, Ilene Dwork Bernik 2005 Revocable Trus, Paul & Joann R. Dwork Trust dtd 6/6/89
Claimant Lawyers(s): Gerard P. Fox
Respondent(s): Albert Humphrey, Gary Shemano, The Shemano Group.
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Barbara M. Zak, Jerry Ellner, Louise A. Berberian
Hearing Site: Los Angeles, CA
| | $250,000 |
| 07-03628 | 11/10/2008 | Claimant(s): David Lobato
Claimant Lawyers(s): David Lobato
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Alun Hywel Jones
Hearing Site: New York, NY
| | $0 |
| 08-00940 | 11/10/2008 | Claimant(s): Yuan Sun
Claimant Lawyers(s): Russell M. Odell
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): George F. Meierhofer
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | $425 |
| 06-04308 | 11/07/2008 | Claimant(s): Andrew Garrett.
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Alan Underberg, Ernest Silano, Robert Rosen, Vincent Ficci, Bishop, Rosen & Co..
Respondent Lawyers(s): David A. Schrader, Eugene M. Underberg, Martin S. Siegel, Vincent C. Ficci
Arbitrator(s): Donald Ferguson, Randolph Guggenheimer, Roy L. Weiss
Hearing Site: New York, NY
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