| 06-00182 | 10/18/2007 | Claimant(s): M. McKinney, Merrimac Corporation
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anne N. DePrez
Arbitrator(s): Daniel P. Urban, Joseph V. Simeri, Zachary Ryan Schroer
Hearing Site: Indianapolis, IN
|  | $3,321,440 |
| 06-04209 | 10/17/2007 | Claimant(s): M Securities Investment.
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Calvin Grigsby, Grigsby & Associates.
Respondent Lawyers(s): George L. Guerra
Arbitrator(s): James D. McDonald, Robert S. Natiss, Marc S. Dobin
Hearing Site: Boca Raton, FL
| | |
| 06-04608 | 10/17/2007 | Claimant(s): Ronald Kramer
Claimant Lawyers(s): George L. Mahr
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Walter A. Kapuscinski, Edith M. Novack, Douglas John Baumann
Hearing Site: Newark, NJ
| | |
| 04-03297 | 10/17/2007 | Claimant(s): John Wai, Kassandra Wai, Custodian Account
Claimant Lawyers(s): Albert L. Boasberg
Respondent(s): Jeffrey Rodvien, Morgan Stanley DW Inc.
Respondent Lawyers(s): Mukya S. Porter
Arbitrator(s): Herbert Liberman
Hearing Site: San Francisco, CA
| | $0 |
| 02-07725 | 10/16/2007 | Claimant(s): Barbara Doop
Claimant Lawyers(s): Jakes Jordaan
Respondent(s): David Komansky, Deepak Raj, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel R. Sharp, Pamela C. Serranzana
Arbitrator(s): William L. Dorcy, James K. Pittman, Thomas Mark Zeller
Hearing Site: Dallas, TX
| | Expungement |
| 06-04636 | 10/16/2007 | Claimant(s): Diane Gilmore, Timothy Gilmore, Gilmore Family 1998 Trust
Claimant Lawyers(s): Sean M. Kneafsey
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Steven Gourley, Arthur T. Berggren, David Nielsen
Hearing Site: Los Angeles, CA
| | $63,577 |
| 06-04374 | 10/15/2007 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Andrew Starostecki, James Gutner, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Andrew Starostecki, Michael A. Gross, Robert Persante
Arbitrator(s): Robert J. Morris, Alfred Brunette, Oliver J. Janney
Hearing Site: Tampa, FL
| | |
| 06-04446 | 10/15/2007 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Lawyers(s): Brian D. Trexell
Respondent(s): James Gutner
Respondent Lawyers(s): Robert Persante
Arbitrator(s):
Hearing Site: Tampa, FL
| | |
| 07-00181 | 10/15/2007 | Claimant(s): Reef Securities.
Claimant Lawyers(s): Joel Held
Respondent(s): Robert Stanley, Shawn Bartholomae, American Landmark Securities.
Respondent Lawyers(s): David B. Dyer, George S. Henry
Arbitrator(s): William E. Hartsfield, David M Shamblen, Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 06-00972 | 10/15/2007 | Claimant(s): The Gorak Foundation Trust
Claimant Lawyers(s): Daniel L. Carroll
Respondent(s): Dean Friedman
Respondent Lawyers(s): Brett Sherman
Arbitrator(s): Diane Ciccone, Linda S. Cole, Walter M. Schackman
Hearing Site: New York, NY
| | $22,342 |
