| 06-03305 | 03/14/2008 | Claimant(s): Barbara Drucker, William Drucker, William R. Drucker IRA
Claimant Lawyers(s): Joshua N. Cook
Respondent(s): Charlene Marant, Elizabeth Ferreira, EM Financial Solutions, Marant Enterprises Holdings LLC, Pershing Advisor Solutions
Respondent Lawyers(s): Charlene Marant, Christina Davilas, Compliance Officer, Elizabeth Ferreira
Arbitrator(s): Robert Titus, William I. Carmen, Stephen Z. Frank
Hearing Site: Boston, MA
|  | Settlement |
| 07-01982 | 03/14/2008 | Claimant(s): Marilyn J. Adams, IRA
Claimant Lawyers(s): Marilyn J. Adams
Respondent(s): Christian Clinton, A.G. Edwards & Sons.
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Laz L. Schneider
Hearing Site: Boca Raton, FL
| | $10,213 |
| 07-00190 | 03/13/2008 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): William Zeena
Respondent(s): Humbert Michini, Paul Gaydos
Respondent Lawyers(s): Humbert Michini, Paul Gaydos
Arbitrator(s): Robert S. Natiss, Daniel H. Yaffe, Kathy N. Novick
Hearing Site: Boca Raton, FL
| | |
| 07-01744 | 03/13/2008 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Rick Jensen
Respondent Lawyers(s): William M. Van Camp
Arbitrator(s): Steven A. Hurst, Barry Rabinowitz, Michael S. Kozlow
Hearing Site: Boca Raton, FL
| | |
| 07-01242 | 03/13/2008 | Claimant(s): Sheree Swanncak
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): TFS Securities.
Respondent Lawyers(s): Russell S. Burnside
Arbitrator(s): Cynthia H. Plishtin
Hearing Site: New York, NY
| | $0 |
| 07-02745 | 03/12/2008 | Claimant(s): Brant Snavely
Claimant Lawyers(s): Stacey E. Nathanson
Respondent(s): The Concord Equity Group
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Charles Glass Smith
Hearing Site: Charlotte, NC
| | |
| 04-08117 | 03/12/2008 | Claimant(s): Deborah A. and Nick C. Kreatsoulas
Claimant Lawyers(s): Reggie C. Giffin
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Jeffrey M. Bain, Robert G. Conway, Thomas R. Skulina
Hearing Site: Cleveland, OH
| | $421,031 |
| 06-04192 | 03/12/2008 | Claimant(s): The Thomas P. Matula Liv. Trust 12/05
Claimant Lawyers(s): C. Darrell Sooy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeffrey F. Silverman
Arbitrator(s): Robert D. Sussin, Ronald E. Ogden, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
| | $0 |
| 07-02659 | 03/12/2008 | Claimant(s): Todd Meldrum
Claimant Lawyers(s): Todd Meldrum
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kelly R. Davis
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | $88 |
| 06-03840 | 03/11/2008 | Claimant(s): Paul Livote
Claimant Lawyers(s): Anthony Marino
Respondent(s): First Empire Securities.
Respondent Lawyers(s): John T. Bauer
Arbitrator(s): Robert L. Spangler
Hearing Site: New York, NY
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