| 06-04380 | 10/03/2007 | Claimant(s): Charlotte Lowe, Patrick Lowe
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Gerald A. Koris, Dawn M. Kirchner, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | |
| 06-03869 | 10/03/2007 | Claimant(s): Bernard Hober, Cynthia Hober, John Bernard Hober Custodial, Kendall Anne Hober Custodial
Claimant Lawyers(s): Victor G. Zilinskas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lauryn J. Hart
Arbitrator(s): Michael D. Harrison, Arthur F. Brueggeman, Karen A. Lockwood
Hearing Site: Los Angeles, CA
|  | $0 |
| 07-00586 | 10/03/2007 | Claimant(s): Scott Efron and Karen Efron
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): Richard E. Conner, Barry David Thorpe, Andrew R. Present
Hearing Site: Boca Raton, FL
| | $0 |
| 05-00899 | 10/02/2007 | Claimant(s): Midsouth Capital.
Claimant Lawyers(s): Thomas R. Todd
Respondent(s): Roger Faubel, Dow Financial Services.
Respondent Lawyers(s): James L. Messenger
Arbitrator(s): Robert Rapp
Hearing Site: Cleveland, OH
| | |
| 04-08780 | 10/02/2007 | Claimant(s): Genevieve Dusing
Claimant Lawyers(s): Wild Chang
Respondent(s): Darren Tolan, WAMU Investments.
Respondent Lawyers(s): Darren R. Tolan, Gregory J. Sherwin
Arbitrator(s): Robert S. Fash, Clyde Kenan Oldham, Frederick N. Bailard
Hearing Site: Los Angeles, CA
| | $373,300 |
| 06-03193 | 10/02/2007 | Claimant(s): Debra Cascardo
Claimant Lawyers(s): Debra C. Cascardo
Respondent(s): Joseph McNally, Neal Baumann, A.G. Edwards & Sons., Stephen Condon, Thomas Condon, The Condon Group
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Kenneth B. Cutler, Kip C. Lubcke, Marvin H. Ginsky
Hearing Site: New York, NY
| | $0 |
| 06-05133 | 10/02/2007 | Claimant(s): Sylvia Alford Bush Trust
Claimant Lawyers(s): Nancy Oliver Roberts
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Hugh C. Durbin, Gail Burke Tway, Robert M. Bath
Hearing Site: Louisville, KY
| | $0 |
| 07-00197 | 10/01/2007 | Claimant(s): Anthony and Doris Campagna Irrev. Trus
Claimant Lawyers(s): Connie Janich Hamrah
Respondent(s): Douglas Hedley, Ross Galloway, UBS Financial Services Incorporated
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Ferdinand Schoch, Harry B. Endsley, Juleanne A. Thiebaut
Hearing Site: San Francisco, CA
| | $0 |
| 06-00871 | 09/28/2007 | Claimant(s): Peter Martin
Claimant Lawyers(s): Richard W. Kearney
Respondent(s): Columbia Funds Distributors., Columbia Management Group.
Respondent Lawyers(s): Mark W. Batten
Arbitrator(s): Maurice J. Skoler, Margaret Crouse Skelly, Lee McHarg Holland
Hearing Site: Boston, MA
| | |
| 07-00621 | 09/28/2007 | Claimant(s): La Salle St. Securities, L.L.C.
Claimant Lawyers(s): Stephen B. Diamond
Respondent(s): Morris Weisner
Respondent Lawyers(s): Morris C. Weisner
Arbitrator(s): Anne W. Larkin
Hearing Site: Raleigh, NC
| | |
