| 07-01462 | 11/16/2007 | Claimant(s): Pointe Capital.
Claimant Lawyers(s): Daniel R Levene
Respondent(s): Craig Redding
Respondent Lawyers(s): Craig Steven Redding
Arbitrator(s): Matthew Loguercio
Hearing Site: New York, NY
| | |
| 07-01644 | 11/16/2007 | Claimant(s): Joseph Padilla
Claimant Lawyers(s): Irving M. Einhorn
Respondent(s): Empire Financial Group.
Respondent Lawyers(s): Gary A. Klein
Arbitrator(s): Luther Delano Prater, David Maurer, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
| | |
| 06-04052 | 11/16/2007 | Claimant(s): John Ramsey
Claimant Lawyers(s): James P. Graven
Respondent(s): Edward Jones
Respondent Lawyers(s): Lisa A. Nielsen
Arbitrator(s): Beth Schmidt, Fred J. Naffziger, Stephen C. Cline
Hearing Site: Indianapolis, IN
|  | $85,000 |
| 06-05145 | 11/16/2007 | Claimant(s): Catherine Henderson
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Suntrust Securities.
Respondent Lawyers(s): Richard H. Bergman
Arbitrator(s): V. Michael Pabalis, Michael D. Walsh, Lauren S. Puritz
Hearing Site: Orlando, FL
| | $43,703 |
| 07-01186 | 11/16/2007 | Claimant(s): William Westerman
Claimant Lawyers(s): William H. Westerman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): David J. Rice
Arbitrator(s): Edward J. Vaia
Hearing Site: Tampa, FL
| | $88 |
| 03-03218 | 11/15/2007 | Claimant(s): Anthony Toran
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Anthony Toran Jr., Prudential Equity Group
Respondent Lawyers(s): Christopher Lewis, Stephen B. Wexler
Arbitrator(s): Marion Yuen, Mitchell Jay Bayer, Ellen R. Badinelli
Hearing Site: New York, NY
| | |
| 05-01121 | 11/15/2007 | Claimant(s): Gailene Sarbak
Claimant Lawyers(s): John H Norton
Respondent(s): Bhikku Pai, Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Saverio J. Cina, James R. Greene, Lowell D. Johnston
Hearing Site: Newark, NJ
| | |
| 06-01851 | 11/15/2007 | Claimant(s): BOSC.
Claimant Lawyers(s): Erica Anne Dorwart
Respondent(s): Brinkley Farnsworth
Respondent Lawyers(s): Charles W. Hill
Arbitrator(s): John Thomas Deutsch, F. Guthrie Castle, Lawrence W. Kern
Hearing Site: Memphis, TN
| | |
| 06-03218 | 11/15/2007 | Claimant(s): Miller Tabak + Co..
Claimant Lawyers(s): Robert P. Bramnik
Respondent(s): Israel A. Englander & Co..
Respondent Lawyers(s): Jeffrey I. Wasserman
Arbitrator(s): Charles L. Henderson, Joshua Mark Zucker, Howard L. Haykin
Hearing Site: New York, NY
| | |
| 06-03316 | 11/15/2007 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Thomas Hicks
Respondent Lawyers(s): Greggory J. Savage
Arbitrator(s): J. Michael Coombs, Eugene R. Nielson, William Anthony Park
Hearing Site: Salt Lake City, UT
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