| 06-02555 | 10/05/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mark Del Toro
Respondent Lawyers(s): Mark L. Del Toro
Arbitrator(s): Dolores M Martin, Henry Hermann, Raul Antonio Canez
Hearing Site: Dallas, TX
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| 06-04378 | 10/05/2007 | Claimant(s): Robert Hoffman
Claimant Lawyers(s): David A. Zisser
Respondent(s): Mark Uselton, Stephen Boruchin, Legacy Trading Co.
Respondent Lawyers(s): Charles E. Wetsel, Stephen P. Boruchin
Arbitrator(s): Darla J. Goodrich, Mary Day Smelser, David William Lopp
Hearing Site: Oklahoma City, OK
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| 05-04592 | 10/05/2007 | Claimant(s): Vinu and Smita Patel
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Jigar Patel, Merrill Lynch Pierce Fenner & Smith Inc., Michael Miros
Respondent Lawyers(s): D. Michael O'Neil, Philip D. Sever
Arbitrator(s): Wallace E. Sarran, David W. Stanton, Lisa Shusterman
Hearing Site: Cincinnati, OH
|  | Expungement |
| 06-04621 | 10/05/2007 | Claimant(s): Christine McGinnis
Claimant Lawyers(s): Joseph J. Hroch
Respondent(s): Fredrick McGinnis, UBS Financial Services Inc.
Respondent Lawyers(s): James M. Kimbell, Paul D. Flack
Arbitrator(s): Nathan Levy, Mark C. Watler, Michele N. O'Brien
Hearing Site: Houston, TX
| | Dismissed by Rule 12206 |
| 05-05965 | 10/04/2007 | Claimant(s): Christopher Fulco
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Daniel P. Lund, Thomas F. Fox, James McCaffrey
Hearing Site: New York, NY
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| 06-03661 | 10/04/2007 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., A.G. Edwards & Sons., Victor DiVietro
Respondent Lawyers(s): Marc S. Dobin, Maria V. Martin
Arbitrator(s): Colleen Grace, Martin Salzman, John Hughes Verchot
Hearing Site: Tampa, FL
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| 06-03674 | 10/04/2007 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): A.G. Edwards & Sons., Victor DiVietro
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s):
Hearing Site: Tampa, FL
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| 07-02460 | 10/04/2007 | Claimant(s): Andrea Costello, Bryan Keane, David Shove, Gregg Kennedy, Howard Penney, James Bishop, James Lucier, James Reddington, Jason Gammel, John Tumazos, Katherine Styponias, Kevin Coleman, Kevin De Thomas, Lawrence Demaria, Lynne Theurer, Mark Kennedy, Mark Lipacis, Matthew Park, Nicholas Heymann, Richard Klugman, et al
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Janet A. Beer
Arbitrator(s): Larry A. Kimmel, Cheryl Feldman, Thomas M. Amadio
Hearing Site: New York, NY
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| 06-02862 | 10/03/2007 | Claimant(s): Jacob Niremberg
Claimant Lawyers(s): Isaac Schlesinger
Respondent(s): NYLife Securities LLC, George Gordon
Respondent Lawyers(s): Christopher S. Rooney
Arbitrator(s): Norman B. Arnoff, Mary Ellen Burns, Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
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| 06-03042 | 10/03/2007 | Claimant(s): Kenneth Merwin
Claimant Lawyers(s): Kenneth Jeffrey Merwin
Respondent(s): Dennis Breitenstein
Respondent Lawyers(s): Dennis Lee Breitenstein
Arbitrator(s): James M. Shaker, Judith A. Cochrane, Lisa E. Schuchman
Hearing Site: Seattle, WA
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