| 06-03145 | 04/30/2008 | Claimant(s): Roberto Erusalimsky, Highlands Investment Trading, Ltd., et
Claimant Lawyers(s): Alan R. Perry
Respondent(s): HSBC Brokerage (USA) Inc., HSBC Securities (USA) Inc.
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): Michael A. Levin, Daniel S. Newman, Richard A. Stephens
Hearing Site: Boca Raton, FL
|  | $0 |
| 07-02930 | 04/30/2008 | Claimant(s): William Kling
Claimant Lawyers(s): William Kling
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kelly R. Davis
Arbitrator(s): A. Keith Logue
Hearing Site: Birmingham, AL
| | $0 |
| 07-03095 | 04/30/2008 | Claimant(s): Bruno Cimaglia
Claimant Lawyers(s): Bruno Cimaglia
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Hilda H. Boas
Hearing Site: New York, NY
| | $0 |
| 07-03425 | 04/30/2008 | Claimant(s): Shoji Takahashi
Claimant Lawyers(s): Shoji Takahashi
Respondent(s): Firstrade Securities Inc.
Respondent Lawyers(s): Peter Gschweng
Arbitrator(s): Harry Miller
Hearing Site: Los Angeles, CA
| | $213 |
| 04-00825 | 04/29/2008 | Claimant(s): John La Spina
Claimant Lawyers(s): Brian Reis
Respondent(s): Hennion & Walsh., Metropolitan Life Insurance Company
Respondent Lawyers(s): Anthony P. La Rocco, Joseph C. O'Keefe
Arbitrator(s): Madelyn A. Levy, Herbert N. Fishman, Thomas Naylor
Hearing Site: New York, NY
| | |
| 07-01434 | 04/29/2008 | Claimant(s): Mark Hootnick
Claimant Lawyers(s): Edward J.M. Little
Respondent(s): Greenhill & Co.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Douglas F. Stone, Edward Peter Ryan, Lawrence F. Carnevale
Hearing Site: New York, NY
| | |
| 07-00476 | 04/29/2008 | Claimant(s): Est. of Thomas H. Piccarreto by Bentti
Claimant Lawyers(s): Douglas Moyal
Respondent(s): Great Eastern Securities.
Respondent Lawyers(s): Derick Johnson
Arbitrator(s): Pamela H. Roderick, Evonne W.J. Tolbert, Mary L. Merkle
Hearing Site: New York, NY
| | $55,686 |
| 07-01355 | 04/29/2008 | Claimant(s): Adele Nathanson, J&A Nathanson Family Trust
Claimant Lawyers(s): Alex M. Allman
Respondent(s): Chris Haera, Wachovia Securities, Dan Klein
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): James M. Johnstone, Richard Charles Hotvedt, Charles C. Fox
Hearing Site: Baltimore, MD
| | $0 |
| 06-04165 | 04/28/2008 | Claimant(s): Johnnie Lloyd
Claimant Lawyers(s): Tarya A. Tribble
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Joseph L. Larrinaga
Arbitrator(s): Beverly S. Gordon, Richard J. Fuller, David L. Walby
Hearing Site: Tampa, FL
| | |
| 07-02382 | 04/28/2008 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): William Johnson
Respondent Lawyers(s): William Johnson
Arbitrator(s): David W. Haynes, Michael S. Hill, Walter John Chesney
Hearing Site: Boca Raton, FL
| | |
