| 06-00120 | 11/12/2007 | Claimant(s): Timothy Cappadona
Claimant Lawyers(s): Samuel L. Davis
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Sheldon M. Finkelstein, Jeffrey Alan Helewitz, Dwight Wassong
Hearing Site: Newark, NJ
| | |
| 06-02824 | 11/12/2007 | Claimant(s): Irving Becker
Claimant Lawyers(s): Jerome M. Selvers
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Karen L. Palermo
Arbitrator(s): John P. Bannon, Martin A. Edelstein, Steven David Leader
Hearing Site: Newark, NJ
| | |
| 06-04112 | 11/12/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): Bret Swisher
Respondent Lawyers(s): Bret A. Swisher
Arbitrator(s): James A. Melfi, John B. Glueckert, Marc E. Henn
Hearing Site: Columbus, OH
| | |
| 07-00417 | 11/12/2007 | Claimant(s): Elizabeth Bondoc
Claimant Lawyers(s): Neda Ataie
Respondent(s): Wachovia Securities, Stephen Wilson
Respondent Lawyers(s): Peter Brown Dolan, Ryan P. Smith
Arbitrator(s): William E. Winfield, Troy C. Sumrall, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
|  | $13,713 |
| 06-05331 | 11/09/2007 | Claimant(s): Christopher Allick
Claimant Lawyers(s): David H.S. Commins
Respondent(s): Peter Fader, Urchin Capital Partners LLC
Respondent Lawyers(s): Alvin L. Fishman
Arbitrator(s): Peter M Brabbee, Barbara M. Anscher, Osei J Adoma
Hearing Site: San Francisco, CA
| | |
| 07-01413 | 11/09/2007 | Claimant(s): New Castle Financial Services LLC
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): Joel Zubaid
Respondent Lawyers(s): Joel Zubaid
Arbitrator(s): Janice A. Salter
Hearing Site: Los Angeles, CA
| | $0 |
| 07-02051 | 11/09/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Econotek
Respondent Lawyers(s): President or Compliance Officer
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | $0 |
| 04-08200 | 11/09/2007 | Claimant(s): Barbara Davis
Claimant Lawyers(s): C. Mark Stratton
Respondent(s): Emmett Johnson, Prudential Equity Group, Warren Johnson
Respondent Lawyers(s): James M. McCown, Retta Miller
Arbitrator(s): James E. Lane, Daniel J. Pagnano, Edmund Herbert Hecht
Hearing Site: Houston, TX
| | $130,000 |
| 07-00312 | 11/09/2007 | Claimant(s): The Estate of George Mallouk
Claimant Lawyers(s): John T. McNamara
Respondent(s): Citigroup Global Markets., Otto Betz III
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Pamela H. Roderick, Bernard Korman, Bruce Alan Whiteford
Hearing Site: New York, NY
| | $20,000 |
| 06-03100 | 11/09/2007 | Claimant(s): Norman R. Burns, Norman R. Burns Trust
Claimant Lawyers(s): Jane Stafford
Respondent(s): Multi-Financial Securities Corp.
Respondent Lawyers(s): John Thomas
Arbitrator(s): Sanford Heiser, Joanne C. Brant, Michael Brian McCord
Hearing Site: Cleveland, OH
| | $0 |
