| 06-04455 | 10/30/2007 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Forrest M. Smith
Respondent(s): Lawrence Bensman
Respondent Lawyers(s): Lawrence N. Bensman
Arbitrator(s): Amy J. Wenzler
Hearing Site: Milwaukee, WI
| | |
| 06-04911 | 10/30/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Demuynck
Respondent Lawyers(s): James Valere Demuynck
Arbitrator(s): AnnDrea M. Benson
Hearing Site: Buffalo, NY
| | |
| 07-01810 | 10/30/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Danny Daniels
Respondent Lawyers(s): Danny Daniels
Arbitrator(s): Linda B. Kelly
Hearing Site: Dallas, TX
| | |
| 06-00811 | 10/30/2007 | Claimant(s): Grace Weber, Elwood and Grace Weber
Claimant Lawyers(s): Michael P. McClaren
Respondent(s): Advest., Edward Carlsen, Merrill Lynch Pierce Fenner & Smith Inc., Roger Faulring
Respondent Lawyers(s): James D. Vannah, Paul K. Stecker
Arbitrator(s): Eugene M. Setel, Karin A. Schlosser, Michael Allen Zeiler
Hearing Site: Buffalo, NY
|  | $685,170 |
| 06-02459 | 10/30/2007 | Claimant(s): Susan Beesmyer, Beesmyer Family Trust Agreement 10/96
Claimant Lawyers(s): J. Emery Barker
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Charles W. Herf, Allan Levey, Merton E. Marks
Hearing Site: Phoenix, AZ
| | $25,000 |
| 07-01463 | 10/30/2007 | Claimant(s): John McQueston
Claimant Lawyers(s): John McQueston
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Guy K. Stewart
Hearing Site: Boca Raton, FL
| | $0 |
| 07-00886 | 10/29/2007 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): David Mikhlin
Respondent Lawyers(s): Raymond D. Radow
Arbitrator(s): Stanley F. Meyerson, Arnold L. Goren, Marilyn J. Salzman
Hearing Site: New York, NY
| | |
| 07-00479 | 10/29/2007 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Jason M. Fedo
Respondent(s): John Gordon, Jenkins-Olsen.
Respondent Lawyers(s): Company Corporation, John Gordon
Arbitrator(s): Elena G. Rodriguez, Arnold Levine, Richard H. Tierney
Hearing Site: Boca Raton, FL
| | |
| 06-04228 | 10/29/2007 | Claimant(s): Patricia Cavaness, Patricia Cavaness IRA
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Daniel Bookout
Respondent Lawyers(s): Daniel S. Bookout
Arbitrator(s): Lawrence W. Arness, Tim V. Young, Daniel P. Urban
Hearing Site: Indianapolis, IN
| | $894,320 |
| 07-00802 | 10/29/2007 | Claimant(s): Michelle Faranso, Nicholas Faranso
Claimant Lawyers(s): Richard R. Scarfone
Respondent(s): Anmar Sarafa, Steward Capital Management
Respondent Lawyers(s): Dennis Egan
Arbitrator(s): Jerome D. Sobczak, Roland L. Olzark, Stephen T. Falzone
Hearing Site: Detroit, MI
| | $0 |
