| 07-03195 | 04/28/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Vikas Patel
Respondent Lawyers(s): Vikas Patel
Arbitrator(s): Richard E. Lerner
Hearing Site: Newark, NJ
|  | $0 |
| 07-01762 | 04/28/2008 | Claimant(s): Bantz Revocable Living Trust
Claimant Lawyers(s): William F. Davis
Respondent(s): David Rhee
Respondent Lawyers(s): David J. Rhee
Arbitrator(s): S. Jeffrey Minker
Hearing Site: Phoenix, AZ
| | $98,000 |
| 07-01815 | 04/28/2008 | Claimant(s): Larry Finkermeier
Claimant Lawyers(s): Jeffrey Kruske
Respondent(s): New England Securities
Respondent Lawyers(s): Peter J. Flanagan
Arbitrator(s): Donald B. Clark
Hearing Site: Kansas City, MO
| | $35,274 |
| 07-01399 | 04/25/2008 | Claimant(s): J.B. Hanauer & Co.
Claimant Lawyers(s): Jeffrey L Cox
Respondent(s): Michael Gold
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Ned B. Young, Daniel H. Yaffe, Brian J. Kovack
Hearing Site: Boca Raton, FL
| | |
| 07-01458 | 04/25/2008 | Claimant(s): Gerald Kessler
Claimant Lawyers(s): Michael B. Dubin
Respondent(s): Wachovia Securities, Paul Baker
Respondent Lawyers(s): Andrew R. Park, Joseph A. Dougherty
Arbitrator(s): Michael D. Neft, Harold P. Starr, George F. Adams
Hearing Site: Philadelphia, PA
| | |
| 07-01694 | 04/25/2008 | Claimant(s): Citizens Bank, IFMG Securities., IFS Agencies.
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Myra Roenicke
Respondent Lawyers(s): Sheetal Parikh
Arbitrator(s): Robert J. Scafuri, Eric S. Richards, Michael D. Patterson
Hearing Site: Detroit, MI
| | |
| 04-07141 | 04/25/2008 | Claimant(s): Mariam Nigohosian
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Waterhouse Securities a/k/a
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Judith Fields Jurney, James S. Hazard, Daniel A. Dolan
Hearing Site: New York, NY
| | $150,000 |
| 06-05229 | 04/25/2008 | Claimant(s): Anne Woodhouse, The Estate of Melvyn Woodhouse
Claimant Lawyers(s): Romaine Gardner
Respondent(s): Damascus Lee
Respondent Lawyers(s): Damascus I Lee
Arbitrator(s): Michael G. Shannon, Thomas D. Giordano, Denise N. Seegobin
Hearing Site: New York, NY
| | $67,185 |
| 07-00689 | 04/25/2008 | Claimant(s): Marjorie Smith, Bert A. Smith IRA, Bert A. Smith 1988 Trust DTD 9/29/1988
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Associated Securities Corporation
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Alvin L. Fishman, Walter J. Huntley, Nancy A. Yonge
Hearing Site: Reno, NV
| | $0 |
| 07-01651 | 04/25/2008 | Claimant(s): Estate of S. Saunders & Annette Saunders
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Oppenheimer & Co.., Peter Bizinkauskas
Respondent Lawyers(s): Kathy M. Klock, Mark David Hunter
Arbitrator(s): Leslie L. Cooney, Berthold T. Berkwich, Sheldon N. Reibman
Hearing Site: Boca Raton, FL
| | $250 |
