04-05847 | 11/21/2007 | Claimant(s): Gus Kyrkostas and Julie Kyrkostas Claimant Lawyers(s): Richard M. Roth Respondent(s): Harry Kroft, Harvey Permutt, UBS Financial Services Inc., Morgan Stanley DW Inc., Richard Jenkin, Stratis Zaferiou, Theo Zaferiou Respondent Lawyers(s): Marianne Yen, Noah Weissman Arbitrator(s): Christal J. Henner, Gary W. Sherbell, Cynthia A. DiMarco Hearing Site: New York, NY
| | Stipulated Award and Expungement |
06-04414 | 11/21/2007 | Claimant(s): Rosalind Drabin, Henry and Rosalind Drabin Claimant Lawyers(s): Scott L. Silver Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): April M. Chung Arbitrator(s): Melvin Jarolem, Raymond W. Snow, Mauricio Arcadier Hearing Site: Boca Raton, FL
| | $571,495 |
05-03923 | 11/21/2007 | Claimant(s): Ronald and Donna Lapera Claimant Lawyers(s): Charles C. Hunter Respondent(s): Citigroup Global Markets., Keith Silver, Thomas Locastro Respondent Lawyers(s): Raul Sanchez Arbitrator(s): Dennis C. Meyerson, Selma Moy, John J. Duval Hearing Site: New York, NY
| | $0 |
06-01699 | 11/21/2007 | Claimant(s): Mildred Bierce, Mildred E. Bierce IRA Claimant Lawyers(s): James Jay Seltzer Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Eric J. Glassman Arbitrator(s): John J. Fitzpatrick, William Michael Samsel, Mark Aaron Jones Hearing Site: San Francisco, CA
| | $250 |
06-05020 | 11/21/2007 | Claimant(s): Jerry Pinion, Mitchell Borders, Nancy Mueller, Patricia Beall, Paul Ponder Claimant Lawyers(s): Steven M. McCauley Respondent(s): A.G. Edwards & Sons., Sherry Holley Respondent Lawyers(s): Amy C. Johnson Arbitrator(s): John R. Michael, Jan M. West, Enrico A. Mazzoli Hearing Site: Louisville, KY
| | $0 |
05-01209 | 11/20/2007 | Claimant(s): Tania Appell Claimant Lawyers(s): Debra A. Opri Respondent(s): John Lee, A.G. Edwards & Sons. Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Harris E. Kershnar, J. Jean Elliott, Michael Charles Doland Hearing Site: Los Angeles, CA
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06-03345 | 11/20/2007 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Michael Winemiller Respondent Lawyers(s): Paul Forrest Craig Arbitrator(s): Richard L. Oates, David George McCabe, Scott E. Ferguson Hearing Site: Memphis, TN
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06-03545 | 11/20/2007 | Claimant(s): Martin Braam Claimant Lawyers(s): Martin E. Braam Respondent(s): John Fioretti, GCO Services f/k/a Gruntal & Co. Respondent Lawyers(s): John Fioretti Arbitrator(s): Mary Ann M. Melchiorre, Sheldon Seligsohn, Rochelle K. Kaplan Hearing Site: Philadelphia, PA
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06-05258 | 11/20/2007 | Claimant(s): Michael Gabisch Claimant Lawyers(s): Michael J. Gabisch Respondent(s): William Blair and Company L.L.C. Respondent Lawyers(s): Philip M. Goldberg Arbitrator(s): Theodore L. Leeb, Carol McHugh Sanders, Thomas H. Stone Hearing Site: Chicago, IL
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07-01773 | 11/20/2007 | Claimant(s): Clark Dodge & Co.. Claimant Lawyers(s): Randle B. Carpenter Respondent(s): Jorge Ferreira Respondent Lawyers(s): Jorge C. Ferreira Arbitrator(s): Berton Seltzberg Hearing Site: New York, NY
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