| 07-00468 | 10/23/2007 | Claimant(s): Donald Ball, individually & as Ttee
Claimant Lawyers(s): Brian A. Comer
Respondent(s): Francisco Tineo, National Securities Corporation, Kevin Guzman
Respondent Lawyers(s): Francisco Javier Tineo, James D. Brice, Kevin Guzman
Arbitrator(s): Thomas C. Harris, Kenneth A. Rash, Sanford S. Finder
Hearing Site: Columbia, SC
|  | $159,200 |
| 06-04500 | 10/22/2007 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): John R. Jacobson
Respondent(s): Timothy Forsman
Respondent Lawyers(s): Kenneth R. Jones
Arbitrator(s): David N. Burn, Allen S. Bjork, Lovella L. Richardson
Hearing Site: Nashville, TN
| | |
| 06-05019 | 10/22/2007 | Claimant(s): Steven Rothstein
Claimant Lawyers(s): Steven A. Rothstein
Respondent(s): Ross Mandell, Sky Capital LLC
Respondent Lawyers(s): Eric Rosenberg
Arbitrator(s): Sheldon M. Pekin, Steven Samson, Michael Steinberg
Hearing Site: Chicago, IL
| | |
| 06-05335 | 10/22/2007 | Claimant(s): Sandgrain Securities.
Claimant Lawyers(s): Robert A. Giacovas
Respondent(s): Richard Aulicino
Respondent Lawyers(s): Jessica N. Garvin
Arbitrator(s): G. Robert Abrams, Robert A. Sauerberg, Sherry Puro
Hearing Site: Boca Raton, FL
| | |
| 07-02086 | 10/22/2007 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Carrie L. Chelko
Respondent(s): Bruce Paura
Respondent Lawyers(s): Bruce J. Paura
Arbitrator(s): Gregory L. Hess
Hearing Site: Orlando, FL
| | |
| 07-00346 | 10/22/2007 | Claimant(s): Robert Gloor
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Louis Mancinelli, Wayne Schultz, Your Money Matters Brokerage Services
Respondent Lawyers(s): Louis N. Mancinelli, Wayne A. Schultz, Wayne Schultz
Arbitrator(s): Seymour E. Hollander
Hearing Site: Newark, NJ
| | $26,994 |
| 06-05082 | 10/22/2007 | Claimant(s): Anne Snyder
Claimant Lawyers(s): Ronald H. Jarashow
Respondent(s): A.G. Edwards & Sons., Robert Hopkins
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Nelson I. Fishman, Lester Louis Adams, Gregory R. Banasz
Hearing Site: Baltimore, MD
| | $0 |
| 06-03920 | 10/19/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald S. Kravitz
Respondent(s): David Kauffman
Respondent Lawyers(s): Matthew G. English
Arbitrator(s): James D. Knotter, Katherine Jane Morris, Robert E. Witt
Hearing Site: San Diego, CA
| | |
| 07-00941 | 10/19/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Liu
Respondent Lawyers(s): John Young Liu
Arbitrator(s): Mary Ann Tunick
Hearing Site: Houston, TX
| | |
| 05-05807 | 10/19/2007 | Claimant(s): David and Louise Blumlo
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Pacvest Associates.
Respondent Lawyers(s): Robert K. Mann
Arbitrator(s): Judy A. Avey, James G. Gertz, Joseph Leonard Friedes
Hearing Site: Boca Raton, FL
| | $64,433 |
