| 05-04974 | 11/14/2007 | Claimant(s): Jennifer Jensen, Jody Jensen
Claimant Lawyers(s): Lawrence L. Klayman
Respondent(s): Spectrum Capital.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Emily B. Boote, Scott R. Jensen, Sandra L. Shearer
Hearing Site: Rapid City, SD
|  | $20,000 |
| 06-02189 | 11/14/2007 | Claimant(s): John Rauch
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anne N. Deprez
Arbitrator(s): Lawrence W. Arness, David William Russell, Tim D. Bachus
Hearing Site: Indianapolis, IN
| | $100,300 |
| 06-02623 | 11/14/2007 | Claimant(s): Richard D.Riordan and Rita M. Riordan
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Mark Donohue, American Municipal Securities.
Respondent Lawyers(s): Robert Persante
Arbitrator(s): Lewis W. Slaughter, Arthur L. Sirkin, Benjamin L. Abramowitz
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
| 05-02051 | 11/14/2007 | Claimant(s): Schumacher Charitable Unitrust, The Schumacher Family Rev. Trust
Claimant Lawyers(s): Lawrence L. Klayman
Respondent(s): Edward Jones, Edward Jones Trust Company
Respondent Lawyers(s): Wendy S. Menghini
Arbitrator(s): Michael Lloyd Weisel, James F. Major, N. John Garcia
Hearing Site: Columbia, SC
| | $0 |
| 05-02132 | 11/14/2007 | Claimant(s): Harvey R. (Dick) & Kazuko Kagosoff, JT
Claimant Lawyers(s): Patrick L. Lund
Respondent(s): Wells Fargo Investments, Douglas Ivan, Wells Fargo Securities
Respondent Lawyers(s): Andrea H. Henningsen
Arbitrator(s): Philip W. Burge, Edward A. Trabin, Thomas A. Culbertson
Hearing Site: Los Angeles, CA
| | $0 |
| 06-04176 | 11/14/2007 | Claimant(s): Anne McDowell, Joseph Richter
Claimant Lawyers(s): Joseph M. Richter
Respondent(s): Morgan Stanley DW Inc., Lydia Hopps
Respondent Lawyers(s): Cal G. Gonzales
Arbitrator(s): Robert D. Sussin, Gerald F. Corrigan, Russell T. Doe
Hearing Site: Los Angeles, CA
| | $0 |
| 07-00052 | 11/14/2007 | Claimant(s): Gordon C. and Patricia Hurlbert JT TEN
Claimant Lawyers(s): David R. Volpe
Respondent(s): Advest., Richard Sarachman
Respondent Lawyers(s): Harry D. Frisch
Arbitrator(s): William R. Gruver, Thomas R. Skulina, Albert Joseph Boucek
Hearing Site: Pittsburgh, PA
| | $0 |
| 06-02926 | 11/13/2007 | Claimant(s): Madalyn Friedberg, Stephen Friedberg, Barbara J. Friedberg Irrevocable Trust, Hilary F. Friedberg Irrevocable Trust, Jacob Friedberg Trust, Lazar David Friedberg Trust, Tyler Forrest Friedberg Trust
Claimant Lawyers(s): Leslie Trager
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Robert Manfredo, Hugh N. Fryer, April D. Bowie
Hearing Site: New York, NY
| | $162,050 |
| 06-04930 | 11/13/2007 | Claimant(s): Earl Smith
Claimant Lawyers(s): Robert J. Hinsch
Respondent(s): Adam Novick, Craig Balsam, John Engelskirger, Leonard Monteforte, Timothy Daly
Respondent Lawyers(s): Adam Matthew Novick, Craig Stuart Balsam, John William Engelskirger, Leonard Frank Monteforte, Timothy James Daly
Arbitrator(s): F. Chet Taylor, Jeffrey W. Jacobs, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $33,850 |
| 06-04367 | 11/13/2007 | Claimant(s): Charlotte Bluestein, Edward Bluestein, CHARED
Claimant Lawyers(s): Edward Bluestein
Respondent(s): Terra Nova Trading, L.L.C.
Respondent Lawyers(s): Christian T. Kemnitz
Arbitrator(s): Bruce N. Sankin, Gerald Silverman, Tamra H. Sheffman
Hearing Site: Boca Raton, FL
| | $0 |
