| 08-01429 | 11/07/2008 | Claimant(s): Daniel Carnevale
Claimant Lawyers(s): Peter J. Aldrich
Respondent(s): Dr. Robert P. & Patricia A. Laurence
Respondent Lawyers(s): Scott J. Link
Arbitrator(s): Patricia Gunn, Larry G. Kjosa, Pat Anthony Mercurio
Hearing Site: Orlando, FL
| | Expungement |
| 08-00483 | 11/07/2008 | Claimant(s): Marvin Becker
Claimant Lawyers(s): Ira S. Kaplan
Respondent(s): Michael Napolitano, Signator Investors.
Respondent Lawyers(s): James J. Weller, Matthew Tracy
Arbitrator(s): Kenneth B. Cutler, Anthony Michael Sabino, Biagio A. Civale
Hearing Site: New York, NY
|  | $10,000 |
| 06-04480 | 11/07/2008 | Claimant(s): Phyllis Francis
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Norris D. Wolff, William R.H. Martin, Robert A. Cohen
Hearing Site: Newark, NJ
| | $0 |
| 07-03046 | 11/07/2008 | Claimant(s): Jean and David Darzi
Claimant Lawyers(s): Anthony J. Hom
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Aaron L. Danzer
Arbitrator(s): Catherine Tinker, Judith C. Greene, Andrew J. Gerber
Hearing Site: New York, NY
| | $0 |
| 07-01194 | 11/06/2008 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): David Fowler, Donna Furgal, Eric Wasson, NEXT Financial Group.
Respondent Lawyers(s): Ami Shah
Arbitrator(s): Marilyn H. Zuckerman, Laura M. Nelson, Alan Harry Roth
Hearing Site: Boston, MA
| | |
| 07-03103 | 11/06/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Charles Hill
Respondent Lawyers(s): Charles Ray Hill
Arbitrator(s): William H. McCullough, Greg Knight, Angelo J. Infantino
Hearing Site: Orlando, FL
| | |
| 08-00544 | 11/06/2008 | Claimant(s): Westpark Capital.
Claimant Lawyers(s): Paul Caron
Respondent(s): Chanse Menendez
Respondent Lawyers(s): Chanse Keith Menendez
Arbitrator(s): John J. Witkowski
Hearing Site: New York, NY
| | |
| 07-02234 | 11/06/2008 | Claimant(s): Alan Greenwood
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Adam Maggio, Michael Wittenberg, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Linda B. Kelly, David A. Schuler, Catherine M. Norman
Hearing Site: Dallas, TX
| | Stipulated Award and Expungement |
| 07-03231 | 11/06/2008 | Claimant(s): Paul Varsalona
Claimant Lawyers(s): Bernard L. Balkin
Respondent(s): Lowell Listrom, Valdes & Moreno.
Respondent Lawyers(s): Marco Listrom
Arbitrator(s): Robert E. Eisler
Hearing Site: Kansas City, MO
| | $12,450 |
| 08-00525 | 11/06/2008 | Claimant(s): Josef Westkamp
Claimant Lawyers(s): Werner A. Meier
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): David B. Helms
Arbitrator(s): R. Phillip Reed, Dennis Jay Capriglione, Alan A. Sachs
Hearing Site: St. Louis, MO
| | Dismissed by Rule 12206 |
