| 06-02864 | 08/15/2007 | Claimant(s): Sheldon Spitz, Sheldon and Olivia Spitz, Spitz Family Partnership
Claimant Lawyers(s): Seth Muraskin
Respondent(s): Jeffrey Harriton, TimeCapital Securities Corporation
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Eric P. Nachman, Rory M. McLaughlin, Philip S. Wellman
Hearing Site: New York, NY
|  | $0 |
| 06-03507 | 08/14/2007 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Steve Satter
Respondent(s): Brian Knotts, Robert Hyer
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Joan Helen Lukasik, Jerome O. Cohen, Ronald E. Lorentsen
Hearing Site: Seattle, WA
| | |
| 06-03508 | 08/14/2007 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Steve Satter
Respondent(s): Robert Hyer
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s):
Hearing Site: Seattle, WA
| | |
| 06-03902 | 08/14/2007 | Claimant(s): Nordo Nissi
Claimant Lawyers(s): Thomas J. Gleason
Respondent(s): Prudential Equity Group, Michael and Debra Kaufman
Respondent Lawyers(s): Alan S. Brodherson, Michael Kaufman
Arbitrator(s): Sylvia E. Green
Hearing Site: Boston, MA
| | Expungement |
| 06-04912 | 08/14/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Brian C. Free
Respondent(s): Mitchell Jesse
Respondent Lawyers(s): Mitchell R. Jesse
Arbitrator(s): Robert Fisher, William A. Husa, Walter F. Dillaway
Hearing Site: Reno, NV
| | |
| 06-05354 | 08/14/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Nelvine Ocampo
Respondent Lawyers(s): Irving M. Einhorn
Arbitrator(s): Richard J. Stall, Norman Cousins Sasamori, Randall N. Kirk
Hearing Site: Los Angeles, CA
| | |
| 07-01122 | 08/13/2007 | Claimant(s): Carlo Rossell
Claimant Lawyers(s): Carlo E. Rossell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carol B. Trask
Arbitrator(s): Brenna L. Stewart
Hearing Site: New York, NY
| | |
| 06-05183 | 08/13/2007 | Claimant(s): Linda Hale
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): OptionsXpress.
Respondent Lawyers(s): Hillary Victor
Arbitrator(s): Bernard A. Taub, Kevin S. Doty, Allen Robin
Hearing Site: Boca Raton, FL
| | $175,000 |
| 07-00223 | 08/13/2007 | Claimant(s): Richard Caris
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph L. Hood
Arbitrator(s): Marc Kalish, Robert W. Bruns, Curtis L. Ritland
Hearing Site: Phoenix, AZ
| | $690,430 |
| 03-02289 | 08/13/2007 | Claimant(s): Sandra Murray, Charles G. & Sandra Murray Living Trus
Claimant Lawyers(s): Sandra Murray
Respondent(s): Andrew Fairchild, J.P. Morgan Clearing Corp., A.G. Edwards & Sons., Ronald Kabat, PMG Securities Corporation
Respondent Lawyers(s): Andrew J. Fairchild, Henry Wang, Jeffrey W. Coverdell, Ronald S. Kabat
Arbitrator(s): Robin Lynn Berry, Jonathan H. Krotinger, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $0 |
