| 06-04247 | 11/06/2007 | Claimant(s): Ethel Vidas, Ethel Vidas Trust Dtd 4/2/1997, Suc.Tr. of the Harry C. Vidas Trust
Claimant Lawyers(s): David P. Meyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wes Holston
Arbitrator(s): W. Pat Conners, Philip C. Johnston, Robert H. Griffin
Hearing Site: Cincinnati, OH
|  | $91,000 |
| 06-03597 | 11/06/2007 | Claimant(s): Estate of Vera L. Freeberg
Claimant Lawyers(s): Jay William Jacobus
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Herb Schwartz, Linda M. McCoy, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $0 |
| 06-05117 | 11/05/2007 | Claimant(s): Jack Shirley
Claimant Lawyers(s): Stephen Fisher
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Thomas E. Reddin
Arbitrator(s): J. Maxwell Williams, Paul Michael Secunda
Hearing Site: Little Rock, AR
| | |
| 06-03794 | 11/02/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): David Mulford
Respondent Lawyers(s): Charles M. Dalziel
Arbitrator(s): A. Keith Logue, Sabrina Raquel Scott, Connie E. Balliet
Hearing Site: Atlanta, GA
| | |
| 07-00804 | 11/02/2007 | Claimant(s): Scottrade.
Claimant Lawyers(s): Thomas L. Azar
Respondent(s): Andy Nguyen
Respondent Lawyers(s): Andy Nguyen
Arbitrator(s): Laurie J. Butler
Hearing Site: Los Angeles, CA
| | $0 |
| 03-02127 | 11/02/2007 | Claimant(s): William F. Garland
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Dale Low, Eric Salz, Charles Schwab & Co.., Samuel Berger, SDR Capital Management.
Respondent Lawyers(s): Brian A. Carlis, Richard A. Karoly
Arbitrator(s): Sterling N. Frost, Peter Kassel, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 07-01038 | 11/02/2007 | Claimant(s): Joe Stringer
Claimant Lawyers(s): Joe Robert Stringer
Respondent(s): J.P. Morgan Securities., Citigroup Global Markets., Mellon Securities LLC
Respondent Lawyers(s): Alejandro Schwed, Anthony J. Galioto, Bradley J. Johnson
Arbitrator(s): William E. Hartsfield, Cheryl Jerome Moore, Joseph A. Vicario
Hearing Site: Dallas, TX
| | $0 |
| 07-01120 | 11/02/2007 | Claimant(s): Linda Chandler
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jack G. Lerner
Arbitrator(s): Paul Davis Pearlstein
Hearing Site: Washington, DC
| | $0 |
| 07-01359 | 11/02/2007 | Claimant(s): Michael and Helene Sabin, IRA
Claimant Lawyers(s): M. David Sayid
Respondent(s): Basic Investors Inc.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Diane Getzler
Hearing Site: New York, NY
| | $213 |
| 07-01577 | 11/02/2007 | Claimant(s): Tom W. White & Jane C. White JT TEN
Claimant Lawyers(s): Tom William White
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Terry F. Peppard
Hearing Site: Milwaukee, WI
| | $0 |
