| 07-01031 | 10/11/2007 | Claimant(s): Thomas Hulick
Claimant Lawyers(s): Paul Kroeger
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Marcie S. Mintz
Arbitrator(s): Harry Miller, Marvin B. Karelitz, Steven A. Wawra
Hearing Site: Los Angeles, CA
| | |
| 06-02898 | 10/11/2007 | Claimant(s): Ellen Gibson, Harry Gibson, Harry and Ellen Gibson Family Trust
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Thomas Gau, AIG Financial Advisors., Oregon Pacific Financial Advisors
Respondent Lawyers(s): Samuel Y. Edgerton
Arbitrator(s): Brian L. Spahr, Benjamin F. Breslauer, Frank L. Wolf
Hearing Site: Los Angeles, CA
|  | Stipulated Award and Expungement |
| 06-05403 | 10/11/2007 | Claimant(s): Elizabeth deStwollinski, Lance deStwolinski, Lance deStwolinski Revocable Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Michael P. Manly
Arbitrator(s): Rhonda S. McCarthy, Frederick S. Cassman, Lawrence P. McLellan
Hearing Site: Omaha, NE
| | $0 |
| 05-04046 | 10/10/2007 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): James Taylor
Respondent Lawyers(s): Charles W. Hill
Arbitrator(s): Richard L. Oates, E. Steve Scales, Lori Beth Kamen
Hearing Site: Memphis, TN
| | |
| 06-01929 | 10/10/2007 | Claimant(s): William Spina
Claimant Lawyers(s): William Joseph Spina
Respondent(s): Jerome Spina, Teton Partners
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): Joseph A. Cichon, Deborah B. Haskell, Maura Lenore Tomaszewski
Hearing Site: Boston, MA
| | |
| 06-04092 | 10/10/2007 | Claimant(s): Mark Brittan
Claimant Lawyers(s): Edward F. Pohren
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Richard M. Duxbury, Michael R. Wendel, Frederick S. Cassman
Hearing Site: Omaha, NE
| | |
| 07-00579 | 10/10/2007 | Claimant(s): Jeffrey Feist
Claimant Lawyers(s): Jeffrey L. Feist
Respondent(s): Fiserv Securities.
Respondent Lawyers(s): Michael N. Gordan
Arbitrator(s): Melvin S. Slade
Hearing Site: New York, NY
| | |
| 04-07111 | 10/10/2007 | Claimant(s): Michael Distefano
Claimant Lawyers(s): Brian J. Neville
Respondent(s): David Chepauskas, Summit Equities.
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Harry D. Frisch, Anthony P. Connolly, Joseph F. Kelley
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 06-02094 | 10/10/2007 | Claimant(s): Sidney and Sandra Levy
Claimant Lawyers(s): Ronald P. Weil
Respondent(s): Wachovia Securities, Robert DeForest
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Kalman J. Lester, Berthold T. Berkwich, Martin P. Bergman
Hearing Site: Boca Raton, FL
| | $382,600 |
| 06-04533 | 10/10/2007 | Claimant(s): Howe Electric.
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): The Seidler Companies Incorporated
Respondent Lawyers(s): Peter Brown Dolan
Arbitrator(s): John F. Cordova, Robert E. Jenks, Jan Frankel Schau
Hearing Site: Los Angeles, CA
| | $390,274 |
