| 07-00715 | 09/28/2007 | Claimant(s): Luther Oakes
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Irwin S. Sugerman, Leon T. Roberts, Sam T. Heuer
Hearing Site: Jackson, MS
|  | $0 |
| 06-03280 | 09/27/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Billy Cowan
Respondent Lawyers(s): Joseph J. Hroch
Arbitrator(s): Theron L. Vanlandingham, Margaret C. Kerr, David William Lopp
Hearing Site: Oklahoma City, OK
| | |
| 06-04786 | 09/27/2007 | Claimant(s): Mindy Bokser
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Andrew Israel, Anthony Kirincic, David Lindner, Jay Frost, Kirlin Securities.
Respondent Lawyers(s): Isaac M. Zucker, Jay Frost
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | Settlement |
| 05-04702 | 09/27/2007 | Claimant(s): Anthony Petchalonis
Claimant Lawyers(s): Barry H. Dyller
Respondent(s): Gary Crisci, Merrill Lynch Pierce Fenner & Smith Inc., Scott Hartshorn
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Blaine S. Greenfield, Michael D. Neft, Nickolas F. Monteforte
Hearing Site: Philadelphia, PA
| | $0 |
| 05-05589 | 09/27/2007 | Claimant(s): Thomas Hodges
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Christopher Kelts, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Robert S. Zuckerman, Frank Samuel Perri, Lisa Bass Morris
Hearing Site: Charlotte, NC
| | $0 |
| 07-00996 | 09/26/2007 | Claimant(s): Mark Mothner
Claimant Lawyers(s): Debora A. Pitman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carol B. Trask
Arbitrator(s): Peter A. Goldman
Hearing Site: New York, NY
| | |
| 04-01174 | 09/26/2007 | Claimant(s): Kenneth Moskowitz, Leonard Moskowitz
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): James Odorczuk, Lehman Brothers Inc, Todd Rubsamen
Respondent Lawyers(s): Brian F. McDonough
Arbitrator(s): Gerry E. Feinberg, Saul Scheier, Jean C. Black
Hearing Site: New York, NY
| | Expungement |
| 06-03506 | 09/26/2007 | Claimant(s): Deirdre North, FBO Blair A. Riddell Education Trust, FBO Blake A. Riddell Education Trust
Claimant Lawyers(s): William O. Wuester
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Bill M. Lamoreaux, Joseph J. Ligi, Larrie Alan Weil
Hearing Site: Dallas, TX
| | $0 |
| 06-04609 | 09/25/2007 | Claimant(s): Mary Ann White
Claimant Lawyers(s): Patricia A. Washienko
Respondent(s): Peter Fader, Urchin Capital Partners
Respondent Lawyers(s): James S. Rollins
Arbitrator(s): Tom L. Peterson, John F. Poole, Melinda S. Milberg
Hearing Site: Boston, MA
| | |
| 07-00344 | 09/25/2007 | Claimant(s): Cherie Stokes
Claimant Lawyers(s): Cherie A. Stokes
Respondent(s): Howe Barnes Hoefer & Arnett.
Respondent Lawyers(s): Matthew C. Boba
Arbitrator(s): Paul D. Gutierrez
Hearing Site: San Francisco, CA
| | |
