| 07-01665 | 01/28/2008 | Claimant(s): Cowen and Company
Claimant Lawyers(s): Lloyd S. Clareman
Respondent(s): Paul Balser
Respondent Lawyers(s): Eric J. Grannis
Arbitrator(s): Michael P. Golden, Douglas F. Stone, Jean C. Black
Hearing Site: New York, NY
| | |
| 03-09099 | 01/28/2008 | Claimant(s): Barbara King, The Barbara King Family Trust
Claimant Lawyers(s): Brian Maas
Respondent(s): David Kotowski, David Savetz, UBS Financial Services Inc.
Respondent Lawyers(s): David C. Franceski, David Katowski
Arbitrator(s): Constantine N. Katsoris, John B. Morgan, Alan R. Sloate
Hearing Site: New York, NY
|  | $1,750,000 |
| 07-01824 | 01/28/2008 | Claimant(s): Henry Feinstein & Augusta R. Feinstein
Claimant Lawyers(s): Henry Feinstein
Respondent(s): Banc of America Investment Services, I
Respondent Lawyers(s): George F. Meierhofer
Arbitrator(s): Howard S. Wacker
Hearing Site: Phoenix, AZ
| | $2,625 |
| 06-04113 | 01/25/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan Sugarman
Respondent(s): Ken Bott
Respondent Lawyers(s): Aileen E. Cohen
Arbitrator(s): Steven A. Budin, Royetta M. Jones, Richard W. Pendleton
Hearing Site: Las Vegas, NV
| | |
| 06-04595 | 01/25/2008 | Claimant(s): Basic Investors.
Claimant Lawyers(s): Eric S. Hutner
Respondent(s): Glen Meyer
Respondent Lawyers(s): Glen Meyer
Arbitrator(s): John A. Astorina, John P. Bevilacqua, Eric J. Sussman
Hearing Site: New York, NY
| | |
| 05-06516 | 01/25/2008 | Claimant(s): Heinz Haenggeli
Claimant Lawyers(s): W. Scott Grecco
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Rena E. Grossfield, Stephen M. Gross, Christine Moore
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 07-01983 | 01/25/2008 | Claimant(s): Michael D. Meyers & Mary C. Meyers
Claimant Lawyers(s): Michael D. Meyers
Respondent(s): Ameriprise Advisor Services., Jay Wireman
Respondent Lawyers(s): Donald P. Wray
Arbitrator(s): W. Sean Kelleher
Hearing Site: Columbus, OH
| | $16,929 |
| 07-00490 | 01/25/2008 | Claimant(s): Sushila Patel
Claimant Lawyers(s): Viren R. Patel
Respondent(s): E*Trade Securities LLC, Naniben Patel
Respondent Lawyers(s): John Bersin, Naniben Patel
Arbitrator(s): Anne H. Orr
Hearing Site: Atlanta, GA
| | $0 |
| 07-01779 | 01/24/2008 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Forrest M. Smith
Respondent(s): Carl Hyde
Respondent Lawyers(s): Carl F. Hyde
Arbitrator(s): G. Brooks Euler
Hearing Site: Louisville, KY
| | |
| 07-01876 | 01/24/2008 | Claimant(s): Robert Cash
Claimant Lawyers(s): Laura I. Hillerich
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Richard A. Boucher
Arbitrator(s): Mitchell B. Goldberg
Hearing Site: Cincinnati, OH
| | $6,386 |
