| 06-03213 | 12/06/2007 | Claimant(s): Rindy Merrifield Inc Def Ben Plan 1/00
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Michael Woods, Mutual Service Corporation
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): James S. Martin, Walter J. Huntley, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
|  | $0 |
| 06-04130 | 12/06/2007 | Claimant(s): Estate of Harriet H. Dublon
Claimant Lawyers(s): Jack Scarola
Respondent(s): Ronnie Flint
Respondent Lawyers(s): Ronnie W. Flint - K70204/1106u
Arbitrator(s): Seth L. Finkel, Richard Anthony Jannuzzi, Sandra J. Bakalus
Hearing Site: Boca Raton, FL
| | $0 |
| 06-05136 | 12/06/2007 | Claimant(s): Elaine Pulig
Claimant Lawyers(s): Elaine L. Pulig
Respondent(s): Jean Smith, Janney Montgomery Scott LLC
Respondent Lawyers(s): Carrie L. Chelko, Jean Smith
Arbitrator(s): Paul R. Meese, Edward A. Grupp, Alfred E. Lawson
Hearing Site: Pittsburgh, PA
| | $0 |
| 07-00879 | 12/06/2007 | Claimant(s): Jodeen Fletcher
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Larry R. Trussell, Frederick B. Anderson, Jeffrey A. Bainbridge
Hearing Site: Omaha, NE
| | $0 |
| 06-05355 | 12/05/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ross E. Noble
Respondent(s): Frank Parlato
Respondent Lawyers(s): Frank C. Parlato
Arbitrator(s): James P. Murphy, George Frederick Garris, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
| | |
| 06-04213 | 12/05/2007 | Claimant(s): Salvador Marroquin
Claimant Lawyers(s): Matthew J. Pero
Respondent(s): Isidoro Miramontes, Morgan Stanley DW Inc.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Philip W. Burge, Herbert Murez, Suzanne Viau Chamberlain
Hearing Site: Los Angeles, CA
| | Expungement |
| 05-00238 | 12/04/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Paul Clayton
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Robert W. Vernon, Paul J. Sipe, Barry E. Kersh
Hearing Site: San Diego, CA
| | |
| 07-01121 | 12/04/2007 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Jeffrey Leo
Respondent Lawyers(s): Jeffrey Christian Leo
Arbitrator(s): William A. Hohauser
Hearing Site: New York, NY
| | |
| 05-03849 | 12/04/2007 | Claimant(s): Rodney Beck, Stacey Beck, Rodney R. Beck Living Trust d 12-05-04, Stacey Beck Living Trust dtd 12-05-94
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): William Artmann, Investacorp.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Richard Marc Weinroth, Allan D. Breyer, Karen D. Hanson
Hearing Site: Phoenix, AZ
| | $1,150,000 |
| 06-02323 | 12/04/2007 | Claimant(s): Milton and Blanche Wasserburger
Claimant Lawyers(s): Jeffrey Sonn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kent B. Frazer
Arbitrator(s): David W. Newman, Syma S. Kasdin, Eugene J. Koalkin
Hearing Site: Boca Raton, FL
| | $97,424 |
