| 06-04092 | 10/10/2007 | Claimant(s): Mark Brittan
Claimant Lawyers(s): Edward F. Pohren
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Richard M. Duxbury, Michael R. Wendel, Frederick S. Cassman
Hearing Site: Omaha, NE
| | |
| 07-00579 | 10/10/2007 | Claimant(s): Jeffrey Feist
Claimant Lawyers(s): Jeffrey L. Feist
Respondent(s): Fiserv Securities.
Respondent Lawyers(s): Michael N. Gordan
Arbitrator(s): Melvin S. Slade
Hearing Site: New York, NY
| | |
| 04-07111 | 10/10/2007 | Claimant(s): Michael Distefano
Claimant Lawyers(s): Brian J. Neville
Respondent(s): David Chepauskas, Summit Equities.
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Harry D. Frisch, Anthony P. Connolly, Joseph F. Kelley
Hearing Site: Newark, NJ
|  | Stipulated Award and Expungement |
| 06-02094 | 10/10/2007 | Claimant(s): Sidney and Sandra Levy
Claimant Lawyers(s): Ronald P. Weil
Respondent(s): Wachovia Securities, Robert DeForest
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Kalman J. Lester, Berthold T. Berkwich, Martin P. Bergman
Hearing Site: Boca Raton, FL
| | $382,600 |
| 06-04533 | 10/10/2007 | Claimant(s): Howe Electric.
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): The Seidler Companies Incorporated
Respondent Lawyers(s): Peter Brown Dolan
Arbitrator(s): John F. Cordova, Robert E. Jenks, Jan Frankel Schau
Hearing Site: Los Angeles, CA
| | $390,274 |
| 05-04863 | 10/09/2007 | Claimant(s): Anne McCarver
Claimant Lawyers(s): Catherine A. Sammartino
Respondent(s): Brian Katz, Citigroup Global Markets., Joseph DeNeault
Respondent Lawyers(s): Sarah G. Kim
Arbitrator(s): Ronald L. Cheney, John Klinetob, Jeffrey L. Levy
Hearing Site: Providence, RI
| | |
| 04-05063 | 10/09/2007 | Claimant(s): Fanam
Claimant Lawyers(s): Louis F. Burke
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joshua R. Cohen
Arbitrator(s): Jeffrey M. Bain, Gary R. Miles, Mitchell B. Goldberg
Hearing Site: Cleveland, OH
| | $700,000 |
| 06-01740 | 10/09/2007 | Claimant(s): Alvaro De Castro & Maria Penna
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): EFG Capital International
Respondent Lawyers(s): Barton S. Sacher
Arbitrator(s): Seymour Herman, Michael Robert Emery, James G. Gertz
Hearing Site: Boca Raton, FL
| | $0 |
| 06-04456 | 10/09/2007 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services., James Krieg, Todd Glaw
Respondent Lawyers(s): Gail E. Boliver, John Rock
Arbitrator(s): Timothy E. Taggart, Michael I. White, Lawrence P. McLellan
Hearing Site: Des Moines, IA
| | $0 |
| 05-01072 | 10/08/2007 | Claimant(s): Jacqueline Hayes
Claimant Lawyers(s): Jacqueline Hayes
Respondent(s): Curtis Triggs, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Curtis W. Triggs, David M. Minnick
Arbitrator(s): Gerald Cohen, Lawrence R. Goldberg, David B. Lacks
Hearing Site: St. Louis, MO
| | $0 |
