| 03-02127 | 11/02/2007 | Claimant(s): William F. Garland
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Dale Low, Eric Salz, Charles Schwab & Co.., Samuel Berger, SDR Capital Management.
Respondent Lawyers(s): Brian A. Carlis, Richard A. Karoly
Arbitrator(s): Sterling N. Frost, Peter Kassel, Bradley C. Mitchell
Hearing Site: San Francisco, CA
|  | Stipulated Award and Expungement |
| 07-01038 | 11/02/2007 | Claimant(s): Joe Stringer
Claimant Lawyers(s): Joe Robert Stringer
Respondent(s): J.P. Morgan Securities., Citigroup Global Markets., Mellon Securities LLC
Respondent Lawyers(s): Alejandro Schwed, Anthony J. Galioto, Bradley J. Johnson
Arbitrator(s): William E. Hartsfield, Cheryl Jerome Moore, Joseph A. Vicario
Hearing Site: Dallas, TX
| | $0 |
| 07-01120 | 11/02/2007 | Claimant(s): Linda Chandler
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jack G. Lerner
Arbitrator(s): Paul Davis Pearlstein
Hearing Site: Washington, DC
| | $0 |
| 07-01359 | 11/02/2007 | Claimant(s): Michael and Helene Sabin, IRA
Claimant Lawyers(s): M. David Sayid
Respondent(s): Basic Investors Inc.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Diane Getzler
Hearing Site: New York, NY
| | $213 |
| 07-01577 | 11/02/2007 | Claimant(s): Tom W. White & Jane C. White JT TEN
Claimant Lawyers(s): Tom William White
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Terry F. Peppard
Hearing Site: Milwaukee, WI
| | $0 |
| 06-00895 | 11/01/2007 | Claimant(s): Debra Reda-Cappos
Claimant Lawyers(s): William Lindsley
Respondent(s): Wachovia Securities, Terry Chase
Respondent Lawyers(s): Michael J. Abbott, Sheryl L. Skibbe
Arbitrator(s): Howard A. Emirhanian, Salvatore A. Sciortino, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | |
| 06-03306 | 11/01/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Peter Janowsky
Respondent Lawyers(s): William A. DiConza
Arbitrator(s): Gilbert F. Bach, Robina Fedora Asti, John Murray Carroll
Hearing Site: New York, NY
| | |
| 06-03396 | 11/01/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Carlisle Kelson
Respondent Lawyers(s): John C. Hamilton
Arbitrator(s): G. Donald Steel, Michael F. Fetsch, Tim V. Young
Hearing Site: Indianapolis, IN
| | |
| 06-04714 | 11/01/2007 | Claimant(s): Allen Green, Donald Teboe, William Wright, A. Green Financial Group.
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): Robert Cargin, Regis Securities Corporation
Respondent Lawyers(s): Robert K. Cargin
Arbitrator(s): Harvey Frank, Kenneth J. Safran, Patrick A. Guentner
Hearing Site: Detroit, MI
| | |
| 06-05234 | 11/01/2007 | Claimant(s): Capital Growth Financial
Claimant Lawyers(s): Delmer C. Gowing
Respondent(s): Gregg Zadrozny
Respondent Lawyers(s): Gregg Thomas Zadrozny
Arbitrator(s): Sheldon I. Saitlin, David T. Adonailo, William James Russell
Hearing Site: Boca Raton, FL
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