| 06-02499 | 09/14/2007 | Claimant(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Patricia Sons Biswanger
Respondent(s): James Montalto
Respondent Lawyers(s): Elise Schwarz
Arbitrator(s):
Hearing Site: New York, NY
| | |
| 06-04625 | 09/14/2007 | Claimant(s): Betty Gray
Claimant Lawyers(s): Richard C. Downing
Respondent(s): Charles George, Citigroup Global Markets.
Respondent Lawyers(s): Donald J. Mehan, Hugo A. Hilgendorff
Arbitrator(s): Ronald R. Wilhelm, Elton W. Chartrand, Carolyn L. Witherspoon
Hearing Site: Little Rock, AR
|  | $1,157,380 |
| 02-05541 | 09/13/2007 | Claimant(s): Gary Chan
Claimant Lawyers(s): G. Sterling Perry
Respondent(s): Traderfield Securities., Unise Investment Corp.
Respondent Lawyers(s): Christine Bae, G. Sterling Perry
Arbitrator(s): Simon S. Kogan, Barnard Seligman, John E. Shine
Hearing Site: New York, NY
| | |
| 06-03969 | 09/13/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jennifer Burke
Respondent(s): Renee Isely, Robert Tobin
Respondent Lawyers(s): Mark P. Carey
Arbitrator(s): William Henry Joseph, David R. Bolnick
Hearing Site: New York, NY
| | |
| 06-03970 | 09/13/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): Renee Isely
Respondent Lawyers(s): Mark P. Carey
Arbitrator(s):
Hearing Site: New York, NY
| | |
| 06-04150 | 09/13/2007 | Claimant(s): Joyce Schmidt
Claimant Lawyers(s): Francis V. Cristiano
Respondent(s): Roger Martin, Legacy Financial Services.
Respondent Lawyers(s): Jonathon D. Bergman
Arbitrator(s): Anthony B. Petrelli, Steven Meyrich, John Fleming Kelly
Hearing Site: Denver, CO
| | $36,498 |
| 06-04784 | 09/13/2007 | Claimant(s): Pamela Maloof, Pamela M. Maloof IRA, Pamela M. Maloof, and Kathleen J. Smit
Claimant Lawyers(s): Jeffrey P. Hintermeister
Respondent(s): Christopher Saxon, Kathleen Smitz, Raymond James Financial Services.
Respondent Lawyers(s): Christopher Eric Saxon, Erin Linehan, Jeffrey P. Hintermeister
Arbitrator(s): Todd L. Barlow, John L. Krauss, Michael J. Cork
Hearing Site: Indianapolis, IN
| | $393,375 |
| 07-01246 | 09/13/2007 | Claimant(s): Robert L. Hill and Mary Hill
Claimant Lawyers(s): Christopher D. Hill
Respondent(s): Jeffrey Brauley, UBS Financial Services Inc., Richard Wilhelm
Respondent Lawyers(s): Margarita L. Marsico
Arbitrator(s): Lawrence W. Arness
Hearing Site: Louisville, KY
| | $425 |
| 01-05638 | 09/12/2007 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Anthony Ottimo, Jack Najarian, Michael Ward, Thomas Giugliano, William Odenthal
Respondent Lawyers(s): Catania Facher, Michael Ward, Robert M. Bursky
Arbitrator(s):
Hearing Site: New York, NY
| | |
| 01-05869 | 09/12/2007 | Claimant(s): Anthony Ottimo, Thomas Giugliano
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): Jack Najarian, Michael Ward, William Odenthal
Respondent Lawyers(s): Jack G. Najarian, Michael Ward, William J. Odenthal
Arbitrator(s): William J. Crowe, Madelon M. Rosenfeld, Eugene M. Schloss
Hearing Site: New York, NY
| | |
