| 02-03848 | 02/05/2008 | Claimant(s): Chaim Levin
Claimant Lawyers(s): Jeffrey Liddle
Respondent(s): GFI Securities, GFINET Inc., Inter-Dealer Brokers, Jersey Partners.
Respondent Lawyers(s): Barry Asen
Arbitrator(s): Louis H. Miron, John A. Astorina, Alan Shaw
Hearing Site: New York, NY
| | |
| 07-01386 | 02/05/2008 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): Richard Schwartz
Respondent Lawyers(s): Richard A. Schwartz
Arbitrator(s): Garrick A. Rollert
Hearing Site: Detroit, MI
| | |
| 06-05369 | 02/05/2008 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Will S. Montgomery
Respondent(s): MISR Securities International
Respondent Lawyers(s): Debra G. Speyer
Arbitrator(s): Charles A. Joplin, C. Sumpter Logan, Larry N. Quinn
Hearing Site: Dallas, TX
|  | $0 |
| 05-04934 | 02/05/2008 | Claimant(s): Alan Stevenson, Andrew Trojner, Capital Asset Management Ltd., Hartford Financial Holdings., Lighthouse Two Corp., NKV, Ltd
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Steven Signer
Respondent Lawyers(s): Steve A. Miller
Arbitrator(s): Daniel J. McCarthy, Sid Braufman, Joseph N. Stineman
Hearing Site: New York, NY
| | $1,875,000 |
| 07-01088 | 02/05/2008 | Claimant(s): Richard Oppong
Claimant Lawyers(s): Lee Boothby
Respondent(s): E*Trade Securities LLC, E*Trade Bank
Respondent Lawyers(s): John Bersin
Arbitrator(s): Walter Peterson, Michael J. Henke, Jane C. Carney
Hearing Site: Washington, DC
| | $225 |
| 07-02391 | 02/05/2008 | Claimant(s): David N. Fogg & Jane D. Fogg
Claimant Lawyers(s): David N. Fogg
Respondent(s): John McGovern, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen Adams
Arbitrator(s): Elizabeth A. Copley
Hearing Site: Los Angeles, CA
| | $900 |
| 07-01081 | 02/04/2008 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Michael Naccarato
Respondent(s): Heidi Rosenberg
Respondent Lawyers(s): Peter C. Riley
Arbitrator(s): Harold M. Golz, Bruce J. Nerland, Daniel Baruch Lidawer
Hearing Site: Des Moines, IA
| | |
| 05-06272 | 02/04/2008 | Claimant(s): Sheila Whitcomb
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Stephen Z. Frank, William Norton
Hearing Site: Manchester, NH
| | Stipulated Award |
| 06-02597 | 02/04/2008 | Claimant(s): See More Light Investments
Claimant Lawyers(s): Seymour Licht
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Victor B. Taube, Joseph F. Gross, John H. Fearnow
Hearing Site: Phoenix, AZ
| | $0 |
| 07-00121 | 02/04/2008 | Claimant(s): Erich Klein
Claimant Lawyers(s): Frederick J. Lanshe
Respondent(s): Douglas Woolley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Olney
Arbitrator(s): Joseph L. Farrell
Hearing Site: Philadelphia, PA
| | $0 |
