| 07-01874 | 02/22/2008 | Claimant(s): Robert Woods, Todd Slotkin
Claimant Lawyers(s): Daniel A. Pollack
Respondent(s): Natixis Capital Markets., Natixis Securities North America.
Respondent Lawyers(s): Howard J. Rubin
Arbitrator(s): Steven J. Petrie, William C. Struyk, John Murray Carroll
Hearing Site: New York, NY
| | |
| 07-02020 | 02/22/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Vanessa Rivera-Laboy
Respondent Lawyers(s): Vanessa Rivera-Laboy
Arbitrator(s): Jack Stein
Hearing Site: San Juan, PR
| | |
| 07-02532 | 02/22/2008 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Giovanni Difiore
Respondent Lawyers(s): Gary J. Fernandez
Arbitrator(s): Mark E. Larson
Hearing Site: Chicago, IL
| | |
| 03-02675 | 02/22/2008 | Claimant(s): Kamran Tavakoli
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): John Farahi, Michael Khorsandi, Newpoint Securities
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Robert S. Granas, James M. Mulcahy, Russell T. Doe
Hearing Site: Los Angeles, CA
|  | Stipulated Award and Expungement |
| 04-04140 | 02/22/2008 | Claimant(s): Patricia McEvoy
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Gregory Wagner, Marcel Wagner, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe
Arbitrator(s): Jim Geiger, Fred Shinagel, Linda T. Pellegrino
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 04-05795 | 02/22/2008 | Claimant(s): Vincent Bellino
Claimant Lawyers(s): Vincent Bellino
Respondent(s): Wachovia Securities, Frank Kim, John Compton, Patrick Kim
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Cornelius C. Clancy, Bernard Herman, Irene C. Warshauer
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 06-05397 | 02/22/2008 | Claimant(s): Leona Levitan, Arleen Bernstein, etal.
Claimant Lawyers(s): Scott M. Zucker
Respondent(s): Daniel OShea, David Pike, Douglas Damrow, Prudential Equity Group
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): Guy K. Stewart, Sydney I. Josepher, Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 07-01431 | 02/22/2008 | Claimant(s): Jean Locascio and Sandy White
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Raymond Burghard, Trident Partners, Ltd.
Respondent Lawyers(s): John E. Lawlor, Raymond Burghard
Arbitrator(s): Michael J. McAllister, Charles S. Guggenheimer, Howard L. Greenberger
Hearing Site: New York, NY
| | $120,000 |
| 05-04113 | 02/22/2008 | Claimant(s): Steven and R. Alex Smith
Claimant Lawyers(s): Lee B. Rowell
Respondent(s): Putnam Retail Management, LLP
Respondent Lawyers(s): Andrew J. Hachey
Arbitrator(s): Eric Spencer Buchanan
Hearing Site: Jackson, MS
| | $0 |
| 07-00213 | 02/21/2008 | Claimant(s): John Babalis
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Kevin Graham, Raymond James Financial Services., Thomas Harrington
Respondent Lawyers(s): Leslie R. Murtagh
Arbitrator(s): Kenneth Kleeman, Henry G. Plaster, Wesley C. Wilson
Hearing Site: Charleston, WV
| | |
