| 03-03218 | 11/15/2007 | Claimant(s): Anthony Toran
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Anthony Toran Jr., Prudential Equity Group
Respondent Lawyers(s): Christopher Lewis, Stephen B. Wexler
Arbitrator(s): Marion Yuen, Mitchell Jay Bayer, Ellen R. Badinelli
Hearing Site: New York, NY
| | |
| 05-01121 | 11/15/2007 | Claimant(s): Gailene Sarbak
Claimant Lawyers(s): John H Norton
Respondent(s): Bhikku Pai, Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Saverio J. Cina, James R. Greene, Lowell D. Johnston
Hearing Site: Newark, NJ
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| 06-01851 | 11/15/2007 | Claimant(s): BOSC.
Claimant Lawyers(s): Erica Anne Dorwart
Respondent(s): Brinkley Farnsworth
Respondent Lawyers(s): Charles W. Hill
Arbitrator(s): John Thomas Deutsch, F. Guthrie Castle, Lawrence W. Kern
Hearing Site: Memphis, TN
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| 06-03218 | 11/15/2007 | Claimant(s): Miller Tabak + Co..
Claimant Lawyers(s): Robert P. Bramnik
Respondent(s): Israel A. Englander & Co..
Respondent Lawyers(s): Jeffrey I. Wasserman
Arbitrator(s): Charles L. Henderson, Joshua Mark Zucker, Howard L. Haykin
Hearing Site: New York, NY
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| 06-03316 | 11/15/2007 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Thomas Hicks
Respondent Lawyers(s): Greggory J. Savage
Arbitrator(s): J. Michael Coombs, Eugene R. Nielson, William Anthony Park
Hearing Site: Salt Lake City, UT
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| 06-03861 | 11/15/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Demian Betz
Respondent(s): James Tuberosa
Respondent Lawyers(s): Zachary D. Messa
Arbitrator(s): Marshal H. Emerson, Marcy R. Greer, Robert Kevin O'Mara
Hearing Site: Tampa, FL
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| 06-05077 | 11/15/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): Stanislav Tolstunov
Respondent Lawyers(s): Stanislav Tolstunov
Arbitrator(s): Stewart E. Winner, Brian S. Hamburger, Henry Maringer
Hearing Site: New York, NY
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| 07-00255 | 11/15/2007 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Tara Richardson
Respondent Lawyers(s): Steven G. Wenzel
Arbitrator(s): Stephen P. Savitt, L. Matthew Byrd, Daniel B. Daugherty
Hearing Site: Tampa, FL
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| 06-02936 | 11/15/2007 | Claimant(s): James F. Riley, IRA
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Patricia Meidell, Associated Securities Corp.
Respondent Lawyers(s): Neil Baritz
Arbitrator(s): Merrill Dean Taylor, Paul E. Dahlman, William Patterson Cashill
Hearing Site: Reno, NV
|  | $605,090 |
| 06-04161 | 11/15/2007 | Claimant(s): May Slover
Claimant Lawyers(s): Michael A. Dias
Respondent(s): Bryan Farris, Detroy Womack, Raymond James Financial Services., Richard McDowell, Timothy Lacey
Respondent Lawyers(s): Bryan D. Farris, Kelli Bullington, Richard S. McDowell
Arbitrator(s): Frederick N. Bailard, Ralph B. Perry, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | $8,300 |
