| 07-01964 | 12/19/2007 | Claimant(s): Americo Santella
Claimant Lawyers(s): Samuel E. Cohen
Respondent(s): Sparkle Martin
Respondent Lawyers(s): Lawrence Solomon
Arbitrator(s): Edward T. Borer, Patrick J. O'Neil, Frank P. Santangelo
Hearing Site: Philadelphia, PA
| | Expungement |
| 05-00581 | 12/19/2007 | Claimant(s): Elizabeth Trombly, Helene Williamson, Robert Williamson, Sande Alessi
Claimant Lawyers(s): Elizabeth Trombly, Helene Williamson, Robert Williamson, Sande Alessi
Respondent(s): Bradford Phillips, Lindsey Riley, FAS Holdings., First Allied Securities.
Respondent Lawyers(s): Eric J.F. Redwine
Arbitrator(s): Gerald A. Koris, Robert E. Lawson, Mason A. Dinehart
Hearing Site: Los Angeles, CA
|  | $0 |
| 07-01002 | 12/19/2007 | Claimant(s): Beatrice Pautienis
Claimant Lawyers(s): Beatrice Pautienis
Respondent(s): Keybanc Capital Markets Inc.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Cleveland, OH
| | $0 |
| 03-06793 | 12/18/2007 | Claimant(s): McLaughlin, Piven, Vogel Securities
Claimant Lawyers(s): Mark G. Vaughan
Respondent(s): Jimmie Griffith
Respondent Lawyers(s): Tania Rose
Arbitrator(s): Thomas D. Reese, William J. Petzel, Sean B. Meehan
Hearing Site: San Francisco, CA
| | |
| 07-00015 | 12/18/2007 | Claimant(s): SunTrust Banks., Suntrust Capital Markets., Suntrust Investment Services.
Claimant Lawyers(s): Nathan L. Garroway
Respondent(s): Gary Brochin
Respondent Lawyers(s): Jason W. Graham
Arbitrator(s): James G. Killough, Irving M. Shlesinger, Bernard Leroy Lynch
Hearing Site: Atlanta, GA
| | |
| 07-00224 | 12/18/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Christopher Frazier
Respondent Lawyers(s): Christopher E. Frazier
Arbitrator(s): Susan M. Huffman, Jerome C. Zackroff, George H. Reeves
Hearing Site: Denver, CO
| | |
| 07-01124 | 12/18/2007 | Claimant(s): Neil Snoep
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): J.P. Morgan Securities.
Respondent Lawyers(s): Todd A. Gutfleisch
Arbitrator(s): Gilbert F. Bach, Paul Schiffres, Michael S. Lazan
Hearing Site: New York, NY
| | |
| 06-04288 | 12/18/2007 | Claimant(s): Mondana Ghazanfari
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Nusheen Javadizadeh, Shapour Javadizadeh, RJJ Pasadena Securities.
Respondent Lawyers(s): Peter Brown Dolan
Arbitrator(s): Esther A. Spachner, Michael M. Perrigue, Michael Evan Beckman
Hearing Site: Los Angeles, CA
| | $152,140 |
| 06-03921 | 12/18/2007 | Claimant(s): Sharon Opfer
Claimant Lawyers(s): Benjamin R. Prell
Respondent(s): LifeMark Securities Corp.
Respondent Lawyers(s): Edwin M. Larkin
Arbitrator(s): William R. Waddell, Jack Rephan, James Tyler Pugh
Hearing Site: Norfolk, VA
| | $0 |
| 06-05381 | 12/18/2007 | Claimant(s): Robert Lee Gilbert Trust, TTEE Robert
Claimant Lawyers(s): Robert L. Gilbert
Respondent(s): Brian Mayer, David Smith, McGinn, Smith & Co..
Respondent Lawyers(s): James E. Hacker
Arbitrator(s): Zeb E. Barnhardt
Hearing Site: Columbia, SC
| | $0 |
