| 07-00623 | 08/28/2007 | Claimant(s): Pro-Integrity Securities.
Claimant Lawyers(s): William Perry
Respondent(s): Walter Clark
Respondent Lawyers(s): Walter Clark
Arbitrator(s): Catherine Ladnier
Hearing Site: Baltimore, MD
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| 05-06404 | 08/28/2007 | Claimant(s): Richard M., and Sandra J. Pierzynski
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Patrick Drouillard, Hantz Financial Services.
Respondent Lawyers(s): Bradley J. Schram
Arbitrator(s): Harvey Frank, Benjamin A. Kerner, William David Jaeger
Hearing Site: Detroit, MI
|  | Stipulated Award and Expungement |
| 06-00784 | 08/28/2007 | Claimant(s): James Gallen, Mary Gallen
Claimant Lawyers(s): Richard Sacks
Respondent(s): Morgan Stanley DW Inc., Thomas Marinshaw
Respondent Lawyers(s): Aaron L. Danzer
Arbitrator(s): Linda H. Perry-Cabrera, Harve E. Citrin, Kenneth D. Gack
Hearing Site: San Francisco, CA
| | $375 |
| 06-04007 | 08/27/2007 | Claimant(s): Capital Growth Financial
Claimant Lawyers(s): Delmer C. Gowing
Respondent(s): Keith Gerr
Respondent Lawyers(s): Keith Gerr
Arbitrator(s): Arthur J. Leibell, Gary M. Landau, Walter John Chesney
Hearing Site: Boca Raton, FL
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| 04-01862 | 08/27/2007 | Claimant(s): Virginia Kent, Louis and Virginia Kent
Claimant Lawyers(s): Martyn B. Hill
Respondent(s): Louis Kent, M. Bowles, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alan S. Rafterman, Martyn B. Hill
Arbitrator(s): Raymond E. Jennison, Carol A. Freeland, Patricia B. Lehtola
Hearing Site: Dallas, TX
| | $0 |
| 05-00049 | 08/24/2007 | Claimant(s): L.H. Ross & Company
Claimant Lawyers(s): Mark A. Berman
Respondent(s): Brendan Wright, John Stapleton, Martin Ritchie-Haughton
Respondent Lawyers(s): Brendan Michael Wright, Harry J. Delagrammatikas, Paul A. Lieberman
Arbitrator(s): Alan Steven Brodherson, Ross B. Intelisano, Monroe (Mike) Kaufman
Hearing Site: New York, NY
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| 05-01153 | 08/24/2007 | Claimant(s): Burke Dambly, Cindy Chiu, Corbin Thomas, James Walsh, Linda Bak, Robert Horning, Troy Thomas
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Michael Upton, Direct Capital Securities., MCL Financial Group., Upton Financial Services.
Respondent Lawyers(s): Clay Womack, Theodore Peters
Arbitrator(s): Barbara M. Zak, Dorothy B. Strackbein, Janice A. Salter
Hearing Site: Los Angeles, CA
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| 05-05685 | 08/24/2007 | Claimant(s):
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