| 07-00924 | 11/19/2007 | Claimant(s): The Frank Family Limited Partnership
Claimant Lawyers(s): Steven Frank
Respondent(s): Young, Stovall and Company
Respondent Lawyers(s): Maria Flynn, Senior Vice President
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
|  | $9,337 |
| 04-00850 | 11/16/2007 | Claimant(s): Dane Faber
Claimant Lawyers(s): Phyllis E. Andelin
Respondent(s): Carl Martellaro, First Securities USA., C. Martellaro TTEE First Securities
Respondent Lawyers(s): H Thomas Fehn, Ken Baker
Arbitrator(s): Laura Effel, Jeffrey M. Allen, Joseph M. O'Connor
Hearing Site: San Francisco, CA
| | |
| 05-00185 | 11/16/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Brian C. Free
Respondent(s): Donald Popkes
Respondent Lawyers(s): Donald L. Popkes
Arbitrator(s): Milton C. Bennett
Hearing Site: Los Angeles, CA
| | |
| 07-00450 | 11/16/2007 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): James Bell
Respondent Lawyers(s): Walter Jefferson
Arbitrator(s): Thomas A. Martin, Bertrand C. Moser, Joshua D. Wallach
Hearing Site: Houston, TX
| | |
| 07-01321 | 11/16/2007 | Claimant(s): Harris Investor Services.
Claimant Lawyers(s): Cindy S. Stuyvesant
Respondent(s): Ryan Connelly, Steven Zimmerman
Respondent Lawyers(s): Tiffany C. Woodie
Arbitrator(s): Marc B. Horin, David G. Duggan, James A. Murphy
Hearing Site: Chicago, IL
| | |
| 07-01462 | 11/16/2007 | Claimant(s): Pointe Capital.
Claimant Lawyers(s): Daniel R Levene
Respondent(s): Craig Redding
Respondent Lawyers(s): Craig Steven Redding
Arbitrator(s): Matthew Loguercio
Hearing Site: New York, NY
| | |
| 07-01644 | 11/16/2007 | Claimant(s): Joseph Padilla
Claimant Lawyers(s): Irving M. Einhorn
Respondent(s): Empire Financial Group.
Respondent Lawyers(s): Gary A. Klein
Arbitrator(s): Luther Delano Prater, David Maurer, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
| | |
| 06-04052 | 11/16/2007 | Claimant(s): John Ramsey
Claimant Lawyers(s): James P. Graven
Respondent(s): Edward Jones
Respondent Lawyers(s): Lisa A. Nielsen
Arbitrator(s): Beth Schmidt, Fred J. Naffziger, Stephen C. Cline
Hearing Site: Indianapolis, IN
| | $85,000 |
| 06-05145 | 11/16/2007 | Claimant(s): Catherine Henderson
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Suntrust Securities.
Respondent Lawyers(s): Richard H. Bergman
Arbitrator(s): V. Michael Pabalis, Michael D. Walsh, Lauren S. Puritz
Hearing Site: Orlando, FL
| | $43,703 |
| 07-01186 | 11/16/2007 | Claimant(s): William Westerman
Claimant Lawyers(s): William H. Westerman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): David J. Rice
Arbitrator(s): Edward J. Vaia
Hearing Site: Tampa, FL
| | $88 |
