| 05-01724 | 11/15/2007 | Claimant(s): Eduardo Kawas, Salvador Porte, Geradons, S.L.
Claimant Lawyers(s): Dale Ledbetter, Jan Douglas Atlas
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Michael J. Lawson
Arbitrator(s): Norman L. Weiss, Lawrence Goldberg, Sandro L. Ramos
Hearing Site: Boca Raton, FL
|  | $0 |
| 06-03226 | 11/15/2007 | Claimant(s): Alisa Gabriel
Claimant Lawyers(s): Bruce E. Baldinger
Respondent(s): John Arena, Fidelity Brokerage Services LLC, Fidelity Investment Co., Fidelity Service Company., Strategic Advisors.
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Sheldon M. Finkelstein, C. Anthony Bell, Joseph H. Cerame
Hearing Site: Newark, NJ
| | $0 |
| 06-03137 | 11/14/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Andrew Bryan
Respondent Lawyers(s): Andrew T. Bryan
Arbitrator(s): William J. Travis, John N. Reidy, R. Phillip Reed
Hearing Site: St. Louis, MO
| | |
| 06-04244 | 11/14/2007 | Claimant(s): Kurt Novey
Claimant Lawyers(s): Kurt Charles Novey
Respondent(s): Katherine Moore, William Mauney, Barron Moore.
Respondent Lawyers(s): Phillip W. Offill
Arbitrator(s): Henry Hermann
Hearing Site: Dallas, TX
| | |
| 06-04725 | 11/14/2007 | Claimant(s): Paul Ehrenstein, Paul Ehrenstein Associates.
Claimant Lawyers(s): Paul Ehrenstein
Respondent(s): Bruce Kelly, Nolan Securities Corp.
Respondent Lawyers(s): Michael E. Silverman
Arbitrator(s): Jacob Aschkenasy
Hearing Site: New York, NY
| | |
| 05-04974 | 11/14/2007 | Claimant(s): Jennifer Jensen, Jody Jensen
Claimant Lawyers(s): Lawrence L. Klayman
Respondent(s): Spectrum Capital.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Emily B. Boote, Scott R. Jensen, Sandra L. Shearer
Hearing Site: Rapid City, SD
| | $20,000 |
| 06-02189 | 11/14/2007 | Claimant(s): John Rauch
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anne N. Deprez
Arbitrator(s): Lawrence W. Arness, David William Russell, Tim D. Bachus
Hearing Site: Indianapolis, IN
| | $100,300 |
| 06-02623 | 11/14/2007 | Claimant(s): Richard D.Riordan and Rita M. Riordan
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Mark Donohue, American Municipal Securities.
Respondent Lawyers(s): Robert Persante
Arbitrator(s): Lewis W. Slaughter, Arthur L. Sirkin, Benjamin L. Abramowitz
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
| 05-02051 | 11/14/2007 | Claimant(s): Schumacher Charitable Unitrust, The Schumacher Family Rev. Trust
Claimant Lawyers(s): Lawrence L. Klayman
Respondent(s): Edward Jones, Edward Jones Trust Company
Respondent Lawyers(s): Wendy S. Menghini
Arbitrator(s): Michael Lloyd Weisel, James F. Major, N. John Garcia
Hearing Site: Columbia, SC
| | $0 |
| 05-02132 | 11/14/2007 | Claimant(s): Harvey R. (Dick) & Kazuko Kagosoff, JT
Claimant Lawyers(s): Patrick L. Lund
Respondent(s): Wells Fargo Investments, Douglas Ivan, Wells Fargo Securities
Respondent Lawyers(s): Andrea H. Henningsen
Arbitrator(s): Philip W. Burge, Edward A. Trabin, Thomas A. Culbertson
Hearing Site: Los Angeles, CA
| | $0 |
