| 06-04213 | 12/05/2007 | Claimant(s): Salvador Marroquin
Claimant Lawyers(s): Matthew J. Pero
Respondent(s): Isidoro Miramontes, Morgan Stanley DW Inc.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Philip W. Burge, Herbert Murez, Suzanne Viau Chamberlain
Hearing Site: Los Angeles, CA
|  | Expungement |
| 05-00238 | 12/04/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Paul Clayton
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Robert W. Vernon, Paul J. Sipe, Barry E. Kersh
Hearing Site: San Diego, CA
| | |
| 07-01121 | 12/04/2007 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Jeffrey Leo
Respondent Lawyers(s): Jeffrey Christian Leo
Arbitrator(s): William A. Hohauser
Hearing Site: New York, NY
| | |
| 05-03849 | 12/04/2007 | Claimant(s): Rodney Beck, Stacey Beck, Rodney R. Beck Living Trust d 12-05-04, Stacey Beck Living Trust dtd 12-05-94
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): William Artmann, Investacorp.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Richard Marc Weinroth, Allan D. Breyer, Karen D. Hanson
Hearing Site: Phoenix, AZ
| | $1,150,000 |
| 06-02323 | 12/04/2007 | Claimant(s): Milton and Blanche Wasserburger
Claimant Lawyers(s): Jeffrey Sonn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kent B. Frazer
Arbitrator(s): David W. Newman, Syma S. Kasdin, Eugene J. Koalkin
Hearing Site: Boca Raton, FL
| | $97,424 |
| 06-03501 | 12/04/2007 | Claimant(s): Elizabeth Greer
Claimant Lawyers(s): Romaine L. Gardner
Respondent(s): Judith Cassidy, New England Securities
Respondent Lawyers(s): Rapheal M. Rosenblatt
Arbitrator(s): Ernest Fanwick, Barnard Seligman, Renee La Verne Ross CFP
Hearing Site: New York, NY
| | $0 |
| 04-04358 | 12/03/2007 | Claimant(s): Ameena Ali
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Robert Henderson, William Stenlund, Acument Securities.
Respondent Lawyers(s): Marc S. Dobin, Robert Henderson
Arbitrator(s): Melanie S. Cherdack, Jennifer Gwyn Klein, Charles Hoffman
Hearing Site: Boca Raton, FL
| | |
| 06-04392 | 12/03/2007 | Claimant(s): GunnAllen Financial Inc
Claimant Lawyers(s): Jay Marc Israel
Respondent(s): Wayne Lieberz
Respondent Lawyers(s): Stuart A. Jackson
Arbitrator(s): Michael Ross, Philip Florio, Brian R. Cohen
Hearing Site: New York, NY
| | |
| 07-02106 | 12/03/2007 | Claimant(s): Torc Investments and Research LLC
Claimant Lawyers(s): Ben Delfin
Respondent(s): DE Trading
Respondent Lawyers(s): Eric Lichtenstein
Arbitrator(s): John A. Astorina
Hearing Site: New York, NY
| | |
| 07-00068 | 12/03/2007 | Claimant(s): Mehrdad Pourfarhadi
Claimant Lawyers(s): Marcell Rose Anthony
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Kevin R. McDermott, W. Sean Kelleher, Daniel R. LaMacchia
Hearing Site: Columbus, OH
| | $0 |
