| 07-00074 | 07/03/2008 | Claimant(s): Daryl Scheaffer, Jane Specketer, John Hartman, Leslie Davis, Linda Scheaffer, Paul Prymak, Ritchie Smith, Tedd Sabus, Anthony J. and Patricia A. Pisani, Christopher D. and Sandra M. Olson, Darrel W. and Vera J. Longley, Daryl and Linda Scheaffer, John and Lillian Prymak, Preston and Sheila Smith, Richard Brice & Paula Higgens-Brice, Robert and Brenda Daley, Robert and Evelyn Toro, Robert and Velva Weston, William E. and Toni A. Brock, Rev. Living Trust of Sammy J. Martinez
Claimant Lawyers(s): William R. Fishman
Respondent(s): Mutual Service Corporation, Contemporary Financial Solutions
Respondent Lawyers(s): Craig Bockman
Arbitrator(s): Susan M. Thevenet, Deanna M. Tuley, Patti Fellows Peters
Hearing Site: Denver, CO
|  | $919,740 |
| 07-01432 | 07/03/2008 | Claimant(s): David Gregory
Claimant Lawyers(s): David Gregory
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Tracey C. Gilliam
Arbitrator(s): Charles L. Prothero, David L. Becker, Richard H. Hoenig
Hearing Site: Newark, NJ
| | $0 |
| 05-00529 | 07/02/2008 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Sandra Grannum
Respondent(s): Christopher Becker
Respondent Lawyers(s): Christopher W. Becker
Arbitrator(s): Theodore Moreines, Nathan J. Minucci, Robert J. Gorgia
Hearing Site: Newark, NJ
| | |
| 06-04968 | 07/02/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David H. Smith
Respondent(s): Sergio Negrini
Respondent Lawyers(s): David R. Chase
Arbitrator(s): Syma S. Kasdin, Richard J. Kaplan, Norman E. Heyman
Hearing Site: Boca Raton, FL
| | |
| 07-03439 | 07/02/2008 | Claimant(s): James Kelly
Claimant Lawyers(s): Partha P. Chattoraj
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Dennis C. Cronin, David S. Billet, Madelon M. Rosenfeld
Hearing Site: New York, NY
| | |
| 05-06360 | 07/02/2008 | Claimant(s): Ismael Aviles-Torres & Daisy Pastrana
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Ernesto Casco, Frank Bell, Jose Mirabal, New World Financial.
Respondent Lawyers(s): Ernesto J. Casco, F. Richard Bell, Gary S. Artzt, Jose Mirabal
Arbitrator(s): Joseph L. Bernstein, James A. Smith, Sanford M. Naiditch
Hearing Site: Boca Raton, FL
| | $377,955 |
| 07-02670 | 07/02/2008 | Claimant(s): Dionna Barker, IRA FBO Dionna Barker, Dionna L. Barker U/A Trust DTD 10/8/1998
Claimant Lawyers(s): Robert N. Sheets
Respondent(s): Paige Harris, Bosc.
Respondent Lawyers(s): Paul DeMuro
Arbitrator(s): Leslie L. Conner, Margaret C. Kerr, Jonathan Barry Forman
Hearing Site: Oklahoma City, OK
| | Stipulated Award and Expungement |
| 06-04502 | 07/01/2008 | Claimant(s): Janet MacLean
Claimant Lawyers(s): Paul M. Glickman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Matthew C. Applebaum
Arbitrator(s): Mary C. Kelleher
Hearing Site: Boston, MA
| | |
| 07-02319 | 07/01/2008 | Claimant(s): Eric Hansen
Claimant Lawyers(s): Nicole A. Rizzo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Lucy J. Karl, Peter L. Curry, Jeffrey P. Petrucelly
Hearing Site: Boston, MA
| | |
| 07-01138 | 07/01/2008 | Claimant(s): Helen-Carolyn Ackerly
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Gilford Securities Incorporated
Respondent Lawyers(s): Michael Kalmus
Arbitrator(s): Joseph B. Russell, Kenneth L. Stewart, Joseph R. Brancaleone
Hearing Site: New York, NY
| | $58,000 |
