| 07-01413 | 11/09/2007 | Claimant(s): New Castle Financial Services LLC
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): Joel Zubaid
Respondent Lawyers(s): Joel Zubaid
Arbitrator(s): Janice A. Salter
Hearing Site: Los Angeles, CA
|  | $0 |
| 07-02051 | 11/09/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Econotek
Respondent Lawyers(s): President or Compliance Officer
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | $0 |
| 04-08200 | 11/09/2007 | Claimant(s): Barbara Davis
Claimant Lawyers(s): C. Mark Stratton
Respondent(s): Emmett Johnson, Prudential Equity Group, Warren Johnson
Respondent Lawyers(s): James M. McCown, Retta Miller
Arbitrator(s): James E. Lane, Daniel J. Pagnano, Edmund Herbert Hecht
Hearing Site: Houston, TX
| | $130,000 |
| 07-00312 | 11/09/2007 | Claimant(s): The Estate of George Mallouk
Claimant Lawyers(s): John T. McNamara
Respondent(s): Citigroup Global Markets., Otto Betz III
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Pamela H. Roderick, Bernard Korman, Bruce Alan Whiteford
Hearing Site: New York, NY
| | $20,000 |
| 06-03100 | 11/09/2007 | Claimant(s): Norman R. Burns, Norman R. Burns Trust
Claimant Lawyers(s): Jane Stafford
Respondent(s): Multi-Financial Securities Corp.
Respondent Lawyers(s): John Thomas
Arbitrator(s): Sanford Heiser, Joanne C. Brant, Michael Brian McCord
Hearing Site: Cleveland, OH
| | $0 |
| 06-05015 | 11/09/2007 | Claimant(s): Torsten Scholl, DEQ GMBH & Co. Venture KG
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): J.P. Morgan Securities., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph S. Simms, Timothy P. Burke
Arbitrator(s): Frank Muller, John E. Hansen, Court O. Anderson
Hearing Site: New York, NY
| | $0 |
| 05-03927 | 11/08/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Walter Glass
Respondent Lawyers(s): Stephen M. Harris
Arbitrator(s): Linda L. Drummond, Joel D. Davidman, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
| | |
| 06-04869 | 11/08/2007 | Claimant(s): A. Flannery, Tolman Flannery
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Wachovia Securities, William Muehlhauser
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Ronald B. Schwartz, Ann Breen-Greco, Michael Stephen Knight
Hearing Site: Chicago, IL
| | $293,660 |
| 07-01607 | 11/07/2007 | Claimant(s): Arena Capital Advisors
Claimant Lawyers(s): David Bass
Respondent(s): CopperRoad Corporation
Respondent Lawyers(s): Reginald Sanders Bruce
Arbitrator(s): Thomas W. Steed
Hearing Site: Raleigh, NC
| | $0 |
| 04-07284 | 11/07/2007 | Claimant(s): Leontina Rowe, Aurum Capital Partners, L.P.
Claimant Lawyers(s): William F. Dahill
Respondent(s): Sofia Frankel, Lehman Brothers Inc
Respondent Lawyers(s): Brian F. McDonough
Arbitrator(s): George W. Fehling, Karimu F. Hill-Harvey, Renee La Verne Ross CFP
Hearing Site: New York, NY
| | $0 |
