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
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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
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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
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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 |