| 05-04618 | 10/31/2007 | Claimant(s): Donna Perlmutter, Jona Perlmutter, Perlmutter Family Trust
Claimant Lawyers(s): Loren J. Beck
Respondent(s): Roth Capital Partners
Respondent Lawyers(s): Momo E. Takahashi
Arbitrator(s): J. Jean Elliott, Thomas A. Culbertson, Henry Marris Wollman
Hearing Site: Los Angeles, CA
|  | $93,681 |
| 06-02538 | 10/31/2007 | Claimant(s): Bernard McDaniel
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Daniel Fais, Kevin Murphy, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Timothy F. Shanahan
Hearing Site: Boston, MA
| | Stipulated Award and Expungement |
| 06-03942 | 10/31/2007 | Claimant(s): The Estate of Sydney G. Smith, Jr.
Claimant Lawyers(s): Bradley R. Hoyt
Respondent(s): Raffi Oghlian, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, Raffi Oghlian
Arbitrator(s): Amelia F. Adams, Stuart Arthur Reagan, Peter F. von Meister
Hearing Site: Cincinnati, OH
| | $30,000 |
| 07-01211 | 10/31/2007 | Claimant(s): Norman Foster
Claimant Lawyers(s): Norman A. Foster
Respondent(s): Edward Jones
Respondent Lawyers(s): Lynette D. McCloud
Arbitrator(s): Donald H. Loudon
Hearing Site: Kansas City, MO
| | $13,307 |
| 07-01600 | 10/31/2007 | Claimant(s): Patricia Slatten
Claimant Lawyers(s): Clell I. Cunningham
Respondent(s): Brandy Barnes, Bosc.
Respondent Lawyers(s): Paul DeMuro
Arbitrator(s): Robert Steven Haught
Hearing Site: Oklahoma City, OK
| | $213 |
| 06-04455 | 10/30/2007 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Forrest M. Smith
Respondent(s): Lawrence Bensman
Respondent Lawyers(s): Lawrence N. Bensman
Arbitrator(s): Amy J. Wenzler
Hearing Site: Milwaukee, WI
| | |
| 06-04911 | 10/30/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Demuynck
Respondent Lawyers(s): James Valere Demuynck
Arbitrator(s): AnnDrea M. Benson
Hearing Site: Buffalo, NY
| | |
| 07-01810 | 10/30/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Danny Daniels
Respondent Lawyers(s): Danny Daniels
Arbitrator(s): Linda B. Kelly
Hearing Site: Dallas, TX
| | |
| 06-00811 | 10/30/2007 | Claimant(s): Grace Weber, Elwood and Grace Weber
Claimant Lawyers(s): Michael P. McClaren
Respondent(s): Advest., Edward Carlsen, Merrill Lynch Pierce Fenner & Smith Inc., Roger Faulring
Respondent Lawyers(s): James D. Vannah, Paul K. Stecker
Arbitrator(s): Eugene M. Setel, Karin A. Schlosser, Michael Allen Zeiler
Hearing Site: Buffalo, NY
| | $685,170 |
| 06-02459 | 10/30/2007 | Claimant(s): Susan Beesmyer, Beesmyer Family Trust Agreement 10/96
Claimant Lawyers(s): J. Emery Barker
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Charles W. Herf, Allan Levey, Merton E. Marks
Hearing Site: Phoenix, AZ
| | $25,000 |
