| 06-04416 | 10/25/2007 | Claimant(s): Franklin Fitch
Claimant Lawyers(s): Richard J. Edson
Respondent(s): Ameriprise Advisor Services., Manish Mukhi
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Paul Davis Pearlstein, Deborah Page Aune, Olivia Milbank Farrar
Hearing Site: Washington, DC
|  | Stipulated Award and Expungement |
| 06-04496 | 10/24/2007 | Claimant(s): Henry Stockman
Claimant Lawyers(s): William M. Ziering
Respondent(s): Bear, Stearns & Co. Inc.
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Paul F. Faberman, Kathryn J. Toronto, Homer L. Davis
Hearing Site: San Francisco, CA
| | |
| 06-04998 | 10/24/2007 | Claimant(s): Richard Streisfeld
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Michael Ross, Sherri L. Hughes, Lawrence J. Roth
Hearing Site: New York, NY
| | |
| 07-01570 | 10/24/2007 | Claimant(s): Oleg Bychkov
Claimant Lawyers(s): Oleg Bychkow
Respondent(s): Frank Monte
Respondent Lawyers(s): Frank Rocco Monte
Arbitrator(s): Maria C. Hermida
Hearing Site: New York, NY
| | |
| 07-00149 | 10/24/2007 | Claimant(s): Averill Fisk
Claimant Lawyers(s): Lonnie K. Martens
Respondent(s): Tradestation Securities
Respondent Lawyers(s): Marc Stone
Arbitrator(s): Elena G. Rodriguez, Walter A. Bajak, James Chris Mills
Hearing Site: Boca Raton, FL
| | $65,000 |
| 03-07280 | 10/24/2007 | Claimant(s): Francelle Lewis, Michael Lewis
Claimant Lawyers(s): L. Jerome Stanley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): George C. Freeman
Arbitrator(s): Mark A. Myers, Andrew Phelps Burnside, Robert E. Graves
Hearing Site: New Orleans, LA
| | $0 |
| 06-03972 | 10/24/2007 | Claimant(s): George Nordike
Claimant Lawyers(s): George Nordike
Respondent(s): Israel Epstein, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Olney
Arbitrator(s): Barbara J. Glenns, Annette B. Meyers, James M. Rhodes
Hearing Site: New York, NY
| | $250 |
| 07-00039 | 10/24/2007 | Claimant(s): Mary Patnik
Claimant Lawyers(s): Leonard W. Yelsky
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Michael A. Ungar
Arbitrator(s): Richard R. Edmister, Mark L. Ferris, Gary B. Deutsch
Hearing Site: Cleveland, OH
| | $0 |
| 06-05125 | 10/23/2007 | Claimant(s): Morgan Stanley DW Inc., Morgan Stanley Funding Services Corp.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Daniel Silverberg
Respondent Lawyers(s): Scott F. Griffith
Arbitrator(s): Andrew W. Davitt, Peter D. Shelp, Jay F. Frascella
Hearing Site: Philadelphia, PA
| | |
| 05-05548 | 10/23/2007 | Claimant(s): Lewis Zipkin
Claimant Lawyers(s): Thomas C. Wagner
Respondent(s): Ernest Mishne, Oppenheimer & Co..
Respondent Lawyers(s): Todd A. Broski
Arbitrator(s): Frank C. Fogl, Terrence Patrick McHugh, I. Bernard Trombetta
Hearing Site: Cleveland, OH
| | Stipulated Award and Expungement |
