| 05-04863 | 10/09/2007 | Claimant(s): Anne McCarver
Claimant Lawyers(s): Catherine A. Sammartino
Respondent(s): Brian Katz, Citigroup Global Markets., Joseph DeNeault
Respondent Lawyers(s): Sarah G. Kim
Arbitrator(s): Ronald L. Cheney, John Klinetob, Jeffrey L. Levy
Hearing Site: Providence, RI
| | |
| 04-05063 | 10/09/2007 | Claimant(s): Fanam
Claimant Lawyers(s): Louis F. Burke
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joshua R. Cohen
Arbitrator(s): Jeffrey M. Bain, Gary R. Miles, Mitchell B. Goldberg
Hearing Site: Cleveland, OH
|  | $700,000 |
| 06-01740 | 10/09/2007 | Claimant(s): Alvaro De Castro & Maria Penna
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): EFG Capital International
Respondent Lawyers(s): Barton S. Sacher
Arbitrator(s): Seymour Herman, Michael Robert Emery, James G. Gertz
Hearing Site: Boca Raton, FL
| | $0 |
| 06-04456 | 10/09/2007 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services., James Krieg, Todd Glaw
Respondent Lawyers(s): Gail E. Boliver, John Rock
Arbitrator(s): Timothy E. Taggart, Michael I. White, Lawrence P. McLellan
Hearing Site: Des Moines, IA
| | $0 |
| 05-01072 | 10/08/2007 | Claimant(s): Jacqueline Hayes
Claimant Lawyers(s): Jacqueline Hayes
Respondent(s): Curtis Triggs, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Curtis W. Triggs, David M. Minnick
Arbitrator(s): Gerald Cohen, Lawrence R. Goldberg, David B. Lacks
Hearing Site: St. Louis, MO
| | $0 |
| 06-02555 | 10/05/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mark Del Toro
Respondent Lawyers(s): Mark L. Del Toro
Arbitrator(s): Dolores M Martin, Henry Hermann, Raul Antonio Canez
Hearing Site: Dallas, TX
| | |
| 06-04378 | 10/05/2007 | Claimant(s): Robert Hoffman
Claimant Lawyers(s): David A. Zisser
Respondent(s): Mark Uselton, Stephen Boruchin, Legacy Trading Co.
Respondent Lawyers(s): Charles E. Wetsel, Stephen P. Boruchin
Arbitrator(s): Darla J. Goodrich, Mary Day Smelser, David William Lopp
Hearing Site: Oklahoma City, OK
| | |
| 05-04592 | 10/05/2007 | Claimant(s): Vinu and Smita Patel
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Jigar Patel, Merrill Lynch Pierce Fenner & Smith Inc., Michael Miros
Respondent Lawyers(s): D. Michael O'Neil, Philip D. Sever
Arbitrator(s): Wallace E. Sarran, David W. Stanton, Lisa Shusterman
Hearing Site: Cincinnati, OH
| | Expungement |
| 06-04621 | 10/05/2007 | Claimant(s): Christine McGinnis
Claimant Lawyers(s): Joseph J. Hroch
Respondent(s): Fredrick McGinnis, UBS Financial Services Inc.
Respondent Lawyers(s): James M. Kimbell, Paul D. Flack
Arbitrator(s): Nathan Levy, Mark C. Watler, Michele N. O'Brien
Hearing Site: Houston, TX
| | Dismissed by Rule 12206 |
| 05-05965 | 10/04/2007 | Claimant(s): Christopher Fulco
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Daniel P. Lund, Thomas F. Fox, James McCaffrey
Hearing Site: New York, NY
| | |
