| 06-04859 | 11/07/2007 | Claimant(s): Raul Salmon
Claimant Lawyers(s): Raul Dennis Salmon
Respondent(s): Matthew Nelson, O.N. Equity Sales Company
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): Stephen D. Kort
Hearing Site: Kansas City, MO
|  | $0 |
| 07-01899 | 11/07/2007 | Claimant(s): The Estate of Alastair John Stair
Claimant Lawyers(s): Peter Alpi
Respondent(s): Matthew Ryan, PMG Securities Corporation
Respondent Lawyers(s): Elizabeth M. Hill, Matthew J. Ryan
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | $213 |
| 07-01270 | 11/06/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Deborah A. Mark
Respondent(s): Bayan Alrachid
Respondent Lawyers(s): Bayan Alrachid
Arbitrator(s): Linda L. Drummond
Hearing Site: Los Angeles, CA
| | |
| 07-01848 | 11/06/2007 | Claimant(s): Ronald Baum
Claimant Lawyers(s): Ronald Baum
Respondent(s): TD Waterhouse d/b/a TD Ameritrade
Respondent Lawyers(s): Janis Campanella
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
| | |
| 06-05211 | 11/06/2007 | Claimant(s): Joan Lair
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Clifford A. Harwick, Robert J. McDonnell, Robert T. Costello
Hearing Site: Newark, NJ
| | $0 |
| 06-04247 | 11/06/2007 | Claimant(s): Ethel Vidas, Ethel Vidas Trust Dtd 4/2/1997, Suc.Tr. of the Harry C. Vidas Trust
Claimant Lawyers(s): David P. Meyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wes Holston
Arbitrator(s): W. Pat Conners, Philip C. Johnston, Robert H. Griffin
Hearing Site: Cincinnati, OH
| | $91,000 |
| 06-03597 | 11/06/2007 | Claimant(s): Estate of Vera L. Freeberg
Claimant Lawyers(s): Jay William Jacobus
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Herb Schwartz, Linda M. McCoy, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $0 |
| 06-05117 | 11/05/2007 | Claimant(s): Jack Shirley
Claimant Lawyers(s): Stephen Fisher
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Thomas E. Reddin
Arbitrator(s): J. Maxwell Williams, Paul Michael Secunda
Hearing Site: Little Rock, AR
| | |
| 06-03794 | 11/02/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): David Mulford
Respondent Lawyers(s): Charles M. Dalziel
Arbitrator(s): A. Keith Logue, Sabrina Raquel Scott, Connie E. Balliet
Hearing Site: Atlanta, GA
| | |
| 07-00804 | 11/02/2007 | Claimant(s): Scottrade.
Claimant Lawyers(s): Thomas L. Azar
Respondent(s): Andy Nguyen
Respondent Lawyers(s): Andy Nguyen
Arbitrator(s): Laurie J. Butler
Hearing Site: Los Angeles, CA
| | $0 |
