| 06-05154 | 12/27/2007 | Claimant(s): Devora Tilson, Property Management of Jack Tilson
Claimant Lawyers(s): William A. Rome
Respondent(s): Thomas Kershner, Kennerman Associates.
Respondent Lawyers(s): Timothy J. O'Connor
Arbitrator(s): Robert J. Kheel, Kenneth B. Cutler, John N. Polakas
Hearing Site: New York, NY
|  | $0 |
| 07-00702 | 12/27/2007 | Claimant(s): Robert Goldman, Beth Goldman
Claimant Lawyers(s): Beth Goldman, Robert Goldman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen Adams
Arbitrator(s): Henry L. Dahl
Hearing Site: Phoenix, AZ
| | $0 |
| 06-05283 | 12/26/2007 | Claimant(s): Lafise Valores Santo Domingo, S.A.
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Stanford Group Company
Respondent Lawyers(s): Ronald Shindler
Arbitrator(s): Allen J. Kaplan, Patricia J. Murphy, Dale W. Oliver
Hearing Site: Boca Raton, FL
| | $297,000 |
| 07-00072 | 12/26/2007 | Claimant(s): Assunta Ritucci-Chinni, Elene Zeni, Francesco Ritucci-Chinni, Franz Ritucci-Chinni, Guilio Zeni, Martha Ritucci-Chinni
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Sterling Financial Investment Group
Respondent Lawyers(s): Ejola Christlieb Cook
Arbitrator(s): John Berryman, Thomas K. Goldie, Robert J. Walter
Hearing Site: Orlando, FL
| | $162,290 |
| 07-00877 | 12/26/2007 | Claimant(s): Vera Maria Knowles IRA FBO
Claimant Lawyers(s): Vera Maria Knowles
Respondent(s): Matthew Collier, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): H. Kyeng Lee
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | Expungement |
| 06-03048 | 12/24/2007 | Claimant(s): Adam Aspes, Catherine Lesterhuis, Curtis Thompson, Jacob Morton, Scott Hootman
Claimant Lawyers(s): Latanishia D. Watters
Respondent(s): Brian Foley, Daniel Joyce, Michael Braun, William Devin Jr., Moor & Cabot Inc., Sal Financial Services., d/b/a Ster, Sterne Agee Capital Markets., Sterne, Agee & Leach.
Respondent Lawyers(s): Latanishia D. Watters, Sander A. Rikleen
Arbitrator(s): Paul J. Camilleri, David Finnegan, John F. Duane
Hearing Site: New York, NY
| | |
| 05-04639 | 12/21/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): William W. Allen
Respondent(s): David Pennington, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Davidson, Russell Sayre
Arbitrator(s): Amelia F. Adams, Carolyn K. Balleisen, John D. Robb
Hearing Site: Louisville, KY
| | |
| 07-01635 | 12/21/2007 | Claimant(s): Michael Pata, Steven Dubinsky
Claimant Lawyers(s): Michael Pata, Steven Dubinsky
Respondent(s): Institutional Equity Corporation
Respondent Lawyers(s): Jeffrey Michel
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | |
| 05-02000 | 12/21/2007 | Claimant(s): Lewis Worms, Lewis E. and Corrine I. Worms Trust
Claimant Lawyers(s): Stephen H. Marcus
Respondent(s): J.P. Turner & Company
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Carolyn V. Quadt, Vincent J. Natoli, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 07-01426 | 12/21/2007 | Claimant(s): Kerry Meyer, William Kreyenhagen
Claimant Lawyers(s): Lori A. Ross
Respondent(s): Robert Hogsette, Dawson Corporation, Ltd., Dawson Wealth Management Agency., Multi-Financial Securities.
Respondent Lawyers(s): Marion H. Little
Arbitrator(s): Charles D. Underwood
Hearing Site: Cincinnati, OH
| | $37,154 |
