| 06-03501 | 12/04/2007 | Claimant(s): Elizabeth Greer
Claimant Lawyers(s): Romaine L. Gardner
Respondent(s): Judith Cassidy, New England Securities
Respondent Lawyers(s): Rapheal M. Rosenblatt
Arbitrator(s): Ernest Fanwick, Barnard Seligman, Renee La Verne Ross CFP
Hearing Site: New York, NY
|  | $0 |
| 04-04358 | 12/03/2007 | Claimant(s): Ameena Ali
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Robert Henderson, William Stenlund, Acument Securities.
Respondent Lawyers(s): Marc S. Dobin, Robert Henderson
Arbitrator(s): Melanie S. Cherdack, Jennifer Gwyn Klein, Charles Hoffman
Hearing Site: Boca Raton, FL
| | |
| 06-04392 | 12/03/2007 | Claimant(s): GunnAllen Financial Inc
Claimant Lawyers(s): Jay Marc Israel
Respondent(s): Wayne Lieberz
Respondent Lawyers(s): Stuart A. Jackson
Arbitrator(s): Michael Ross, Philip Florio, Brian R. Cohen
Hearing Site: New York, NY
| | |
| 07-02106 | 12/03/2007 | Claimant(s): Torc Investments and Research LLC
Claimant Lawyers(s): Ben Delfin
Respondent(s): DE Trading
Respondent Lawyers(s): Eric Lichtenstein
Arbitrator(s): John A. Astorina
Hearing Site: New York, NY
| | |
| 07-00068 | 12/03/2007 | Claimant(s): Mehrdad Pourfarhadi
Claimant Lawyers(s): Marcell Rose Anthony
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Kevin R. McDermott, W. Sean Kelleher, Daniel R. LaMacchia
Hearing Site: Columbus, OH
| | $0 |
| 03-05904 | 11/30/2007 | Claimant(s): Alyson Johansen
Claimant Lawyers(s): Gary A. Weissman
Respondent(s): Washington Square Securities.
Respondent Lawyers(s): Kenneth L. Dobkin
Arbitrator(s): Albert A. Woodward, Frederick Ramos, Frederick C. Brown
Hearing Site: Minneapolis, MN
| | |
| 06-00693 | 11/30/2007 | Claimant(s): David Brus, Thomas Olsson
Claimant Lawyers(s): William M. Azkoul
Respondent(s): LaSalle Financial Services.
Respondent Lawyers(s): Stephen P. Bedell
Arbitrator(s): John A. Hubbard, Norman A. Samson, Miles D. Hart
Hearing Site: Detroit, MI
| | |
| 06-03854 | 11/30/2007 | Claimant(s): Margie Aguirre
Claimant Lawyers(s): Linda M. Deola
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Jeanne M. Bender
Arbitrator(s): Clifford N. Coury, Kevin D. Swenson, James F. Zotter
Hearing Site: Helena, MT
| | |
| 05-01106 | 11/30/2007 | Claimant(s): Anthony Titone
Claimant Lawyers(s): Kimberly N. Testa
Respondent(s): RBC Dain Rauscher., Stanley Hochhauser
Respondent Lawyers(s): Sandra Grannum
Arbitrator(s): Ivan W. Harper, Frank J. Spencer, Steven A. Infante
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 06-05212 | 11/30/2007 | Claimant(s): Michael Sapack
Claimant Lawyers(s): Howard Rosenfield
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): John M. Kennedy, Houston Putnam Lowry, David A. Dee
Hearing Site: Hartford, CT
| | Stipulated Award |
