| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
