| 05-05687 | 08/24/2007 | Claimant(s):
Claimant Lawyers(s):
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s):
Hearing Site:
| | |
| 06-05040 | 08/24/2007 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): Frank Foerster
Respondent Lawyers(s): Frank Foerster
Arbitrator(s): Edward Baer, Jerome H. Levy, Jeffery A. Hamer
Hearing Site: New York, NY
| | |
| 06-02395 | 08/24/2007 | Claimant(s): James Rusciano
Claimant Lawyers(s): Larry Kars
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Michael Busco
Respondent Lawyers(s): Dan A. Rosenbaum, David J. Butler
Arbitrator(s): Cynthia A. DiMarco, Andrew H. Freund, Robert T. Costello
Hearing Site: New York, NY
|  | Stipulated Award and Expungement |
| 06-00654 | 08/23/2007 | Claimant(s): Steven Heller
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Intersecurities.
Respondent Lawyers(s): Katherine C. Lake
Arbitrator(s): John P. Cullem, Patrick D. King, Gail E. Sasnett-Stauffer
Hearing Site: Tampa, FL
| | |
| 06-00756 | 08/23/2007 | Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Dan S. McDevitt
Respondent(s): Gregory Fisher
Respondent Lawyers(s): James A. Nofi
Arbitrator(s): Perry Lee Taylor, John C. Yeoman, Ronelle W. Genser
Hearing Site: Atlanta, GA
| | |
| 06-05110 | 08/23/2007 | Claimant(s): Russell Jacobson, Amelia M. Jacobson, IRAs, Russell W. Jacobson IRAs, Russell W. Jacobson & Amelia Jacobson, Russell W. and Amelia M. Jacobson
Claimant Lawyers(s): Russell W. Jacobson
Respondent(s): Ellerd Tomte
Respondent Lawyers(s): Ellerd B. Tomte
Arbitrator(s): Christine C. DeMoss
Hearing Site: Minneapolis, MN
| | $10,213 |
| 06-04809 | 08/23/2007 | Claimant(s): Nicholas Czuczko
Claimant Lawyers(s): Nicholas A. Czuczko
Respondent(s): Electronic Access Direct., Penson Financial Services.
Respondent Lawyers(s): Richard L. Barrett, Will S. Montgomery
Arbitrator(s): George M. Wiener, Timothy N. Will, Edward A. Trabin
Hearing Site: Los Angeles, CA
| | $0 |
| 06-04173 | 08/22/2007 | Claimant(s): John Mera
Claimant Lawyers(s): Douglas W. Oldfield
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeffrey Silverman
Arbitrator(s): Ralph A. Cotton, Jonathan H. Krotinger, Osei J Adoma
Hearing Site: San Francisco, CA
| | |
| 06-04542 | 08/22/2007 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Jason Wands
Respondent Lawyers(s): Jason A. Wands
Arbitrator(s): William W. Marchant, Frank Samuel Perri, John E. Baynum
Hearing Site: Raleigh, NC
| | |
| 07-00171 | 08/22/2007 | Claimant(s): Dianne Bergman
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): Gregory Goldstein, Stanislav Kaminsky, Steven Cohen, Marquis Financial Services.
Respondent Lawyers(s): David Hirschberg, Martin P. Unger, Stanislav Kaminsky
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | $3,289 |
