| 04-04516 | 08/13/2007 | Claimant(s): Andrew Warshaw, Florence Rosenwein, George Whalen, Lorraine Whalen, Louis Rosenwein, Meredith Rosenwein, Sari Rosenwein, M. Rosenwein cust. Robert Rosenwein, Sari R. Rosenwein Cust Sydney Warshaw, Sari Rosenwein Cust. for Seth Warshaw, G. Whalen FBO Meredith Rosenwein, Lorraine Reich Whalen Trust, M. Rosenwein FBO M. Rosenwein, et al., M. Rosenwein TTEE FBO Jordan Rosenwein, M. Rosenwein TTEE FBO Robert Rosenwein
Claimant Lawyers(s): Mark M. Rottenberg
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): James Lico
Arbitrator(s): Louis H. Miron, Mary L. Merkle, Joel P. Mellis
Hearing Site: New York, NY
|  | $0 |
| 06-04487 | 08/10/2007 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Jeffrey D. Hedlund
Respondent(s): David Bellinger
Respondent Lawyers(s): Jeffrey R. Martin
Arbitrator(s): William S. Tagerman, Stephen Z. Frank, Susan Lauder Stewart
Hearing Site: Boston, MA
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| 05-06076 | 08/10/2007 | Claimant(s): Saralyn Ingram
Claimant Lawyers(s): Robert Grant
Respondent(s): Ameriprise Financial Services., Kenneth DiCairano
Respondent Lawyers(s): Michael Zaretsky
Arbitrator(s): Martin H. Zern, Mary Ellen Burns, Eric Howard Kunis
Hearing Site: New York, NY
| | $0 |
| 05-00771 | 08/09/2007 | Claimant(s):
Claimant Lawyers(s):
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s):
Hearing Site:
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| 03-07616 | 08/09/2007 | Claimant(s): Darren Gryniuk
Claimant Lawyers(s): David S. Markun
Respondent(s): Citigroup Global Markets., Jack B. Grubman, Kevin Keating
Respondent Lawyers(s): Jennifer M. Blunt
Arbitrator(s): Samuel A. Alward, Karen V. Cunningham, Kelli J. Jareaux
Hearing Site: Washington, DC
| | Stipulated Award and Expungement |
| 06-02006 | 08/09/2007 | Claimant(s): Peter Connelly
Claimant Lawyers(s): Joe D. Jacobson
Respondent(s): Nathaniel Clay, Wayde Walker, Casimir Capital L.P.
Respondent Lawyers(s): Jordan M. Kam
Arbitrator(s): John E. Sundeen, Joseph D. Sheppard, Gregory B. Allen
Hearing Site: Kansas City, MO
| | Stipulated Award and Expungement |
| 06-02899 | 08/09/2007 | Claimant(s): Vincent Tribo
Claimant Lawyers(s): Helen B Bloch
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Donald P. Wray
Arbitrator(s): Stuart M. Widman, Sheldon I. Saitlin, Thomas E. Haviland
Hearing Site: Chicago, IL
| | $0 |
| 07-00056 | 08/09/2007 | Claimant(s): Welch Family Trust dtd 10/31/91
Claimant Lawyers(s): Chris Rolin
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $150 |
| 07-00371 | 08/09/2007 | Claimant(s): Jeffrey Laughren
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): Joseph Stevens & Company.
Respondent Lawyers(s): Eric S. Hutner
Arbitrator(s): Arthur J. Leibell
Hearing Site: Orlando, FL
| | $0 |
| 06-04598 | 08/08/2007 | Claimant(s): SunTrust Banks., SunTrust Capital Markets., SunTrust Investment Services.
Claimant Lawyers(s): David L. Balser
Respondent(s): Frederick Ross
Respondent Lawyers(s): Steven J. Gard
Arbitrator(s): Robert H. Putnam, Chesley V. Morton, J. G. Long
Hearing Site: Atlanta, GA
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