| 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 |
| 07-01512 | 02/01/2008 | Claimant(s): Heath Goldstein
Claimant Lawyers(s): Heath Gary Goldstein
Respondent(s): Charles Ehnot, Deborah Ehnot, 1st Financial Services, DA-E Financial Group, Ltd t/a 1st Financ
Respondent Lawyers(s): Robert Murphy
Arbitrator(s): David C. Carter
Hearing Site: Newark, NJ
| | |
| 07-00987 | 02/01/2008 | Claimant(s): Joan Reid, Lawrence Juette, Linda Shirar, Lois Salaun, Richard McDonald, Roger Spinks, Stephen Salaun, Estate of Gary Driftmeyer, Timothy Drenth & Karen Driftmyer Drent, Joan B. Reid Rev. Living Tust dtd 10/02
Claimant Lawyers(s): Nicholas J. Taldone
Respondent(s): Joseph Karcagi, Robert Humak
Respondent Lawyers(s): Joseph Karcagi, Robert Humak
Arbitrator(s): William H. Fleece, Fred A. Forbes, Brendan M. Murphy
Hearing Site: Tampa, FL
| | $348,447 |
| 07-00710 | 01/31/2008 | Claimant(s): Cliff Naparsteck
Claimant Lawyers(s): Cliff Martin Naparsteck
Respondent(s): Ameriprise Financial Services., John Schoppe
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Arnold B. Galperin
Hearing Site: Boca Raton, FL
| | |
| 07-01520 | 01/31/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Terry Vail
Respondent Lawyers(s): Terry Joe Vail
Arbitrator(s): Ronald K. Sprague
Hearing Site: Phoenix, AZ
| | |
| 07-01950 | 01/31/2008 | Claimant(s): Kayvan Karoon
Claimant Lawyers(s): Paul A. Lieberman
Respondent(s): Joseph Fitzgerald
Respondent Lawyers(s): Joseph Fitzgerald
Arbitrator(s): Robert L. Spangler
Hearing Site: New York, NY
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