| 06-05015 | 11/09/2007 | Claimant(s): Torsten Scholl, DEQ GMBH & Co. Venture KG
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): J.P. Morgan Securities., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph S. Simms, Timothy P. Burke
Arbitrator(s): Frank Muller, John E. Hansen, Court O. Anderson
Hearing Site: New York, NY
|  | $0 |
| 05-03927 | 11/08/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Walter Glass
Respondent Lawyers(s): Stephen M. Harris
Arbitrator(s): Linda L. Drummond, Joel D. Davidman, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
| | |
| 06-04869 | 11/08/2007 | Claimant(s): A. Flannery, Tolman Flannery
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Wachovia Securities, William Muehlhauser
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Ronald B. Schwartz, Ann Breen-Greco, Michael Stephen Knight
Hearing Site: Chicago, IL
| | $293,660 |
| 07-01607 | 11/07/2007 | Claimant(s): Arena Capital Advisors
Claimant Lawyers(s): David Bass
Respondent(s): CopperRoad Corporation
Respondent Lawyers(s): Reginald Sanders Bruce
Arbitrator(s): Thomas W. Steed
Hearing Site: Raleigh, NC
| | $0 |
| 04-07284 | 11/07/2007 | Claimant(s): Leontina Rowe, Aurum Capital Partners, L.P.
Claimant Lawyers(s): William F. Dahill
Respondent(s): Sofia Frankel, Lehman Brothers Inc
Respondent Lawyers(s): Brian F. McDonough
Arbitrator(s): George W. Fehling, Karimu F. Hill-Harvey, Renee La Verne Ross CFP
Hearing Site: New York, NY
| | $0 |
| 06-04859 | 11/07/2007 | Claimant(s): Raul Salmon
Claimant Lawyers(s): Raul Dennis Salmon
Respondent(s): Matthew Nelson, O.N. Equity Sales Company
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): Stephen D. Kort
Hearing Site: Kansas City, MO
| | $0 |
| 07-01899 | 11/07/2007 | Claimant(s): The Estate of Alastair John Stair
Claimant Lawyers(s): Peter Alpi
Respondent(s): Matthew Ryan, PMG Securities Corporation
Respondent Lawyers(s): Elizabeth M. Hill, Matthew J. Ryan
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | $213 |
| 07-01270 | 11/06/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Deborah A. Mark
Respondent(s): Bayan Alrachid
Respondent Lawyers(s): Bayan Alrachid
Arbitrator(s): Linda L. Drummond
Hearing Site: Los Angeles, CA
| | |
| 07-01848 | 11/06/2007 | Claimant(s): Ronald Baum
Claimant Lawyers(s): Ronald Baum
Respondent(s): TD Waterhouse d/b/a TD Ameritrade
Respondent Lawyers(s): Janis Campanella
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
| | |
| 06-05211 | 11/06/2007 | Claimant(s): Joan Lair
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Clifford A. Harwick, Robert J. McDonnell, Robert T. Costello
Hearing Site: Newark, NJ
| | $0 |
