| 06-03661 | 10/04/2007 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., A.G. Edwards & Sons., Victor DiVietro
Respondent Lawyers(s): Marc S. Dobin, Maria V. Martin
Arbitrator(s): Colleen Grace, Martin Salzman, John Hughes Verchot
Hearing Site: Tampa, FL
| | |
| 06-03674 | 10/04/2007 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): A.G. Edwards & Sons., Victor DiVietro
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s):
Hearing Site: Tampa, FL
| | |
| 07-02460 | 10/04/2007 | Claimant(s): Andrea Costello, Bryan Keane, David Shove, Gregg Kennedy, Howard Penney, James Bishop, James Lucier, James Reddington, Jason Gammel, John Tumazos, Katherine Styponias, Kevin Coleman, Kevin De Thomas, Lawrence Demaria, Lynne Theurer, Mark Kennedy, Mark Lipacis, Matthew Park, Nicholas Heymann, Richard Klugman, et al
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Janet A. Beer
Arbitrator(s): Larry A. Kimmel, Cheryl Feldman, Thomas M. Amadio
Hearing Site: New York, NY
| | |
| 06-02862 | 10/03/2007 | Claimant(s): Jacob Niremberg
Claimant Lawyers(s): Isaac Schlesinger
Respondent(s): NYLife Securities LLC, George Gordon
Respondent Lawyers(s): Christopher S. Rooney
Arbitrator(s): Norman B. Arnoff, Mary Ellen Burns, Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
| | |
| 06-03042 | 10/03/2007 | Claimant(s): Kenneth Merwin
Claimant Lawyers(s): Kenneth Jeffrey Merwin
Respondent(s): Dennis Breitenstein
Respondent Lawyers(s): Dennis Lee Breitenstein
Arbitrator(s): James M. Shaker, Judith A. Cochrane, Lisa E. Schuchman
Hearing Site: Seattle, WA
| | |
| 06-04380 | 10/03/2007 | Claimant(s): Charlotte Lowe, Patrick Lowe
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Gerald A. Koris, Dawn M. Kirchner, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | |
| 06-03869 | 10/03/2007 | Claimant(s): Bernard Hober, Cynthia Hober, John Bernard Hober Custodial, Kendall Anne Hober Custodial
Claimant Lawyers(s): Victor G. Zilinskas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lauryn J. Hart
Arbitrator(s): Michael D. Harrison, Arthur F. Brueggeman, Karen A. Lockwood
Hearing Site: Los Angeles, CA
|  | $0 |
| 07-00586 | 10/03/2007 | Claimant(s): Scott Efron and Karen Efron
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): Richard E. Conner, Barry David Thorpe, Andrew R. Present
Hearing Site: Boca Raton, FL
| | $0 |
| 05-00899 | 10/02/2007 | Claimant(s): Midsouth Capital.
Claimant Lawyers(s): Thomas R. Todd
Respondent(s): Roger Faubel, Dow Financial Services.
Respondent Lawyers(s): James L. Messenger
Arbitrator(s): Robert Rapp
Hearing Site: Cleveland, OH
| | |
| 04-08780 | 10/02/2007 | Claimant(s): Genevieve Dusing
Claimant Lawyers(s): Wild Chang
Respondent(s): Darren Tolan, WAMU Investments.
Respondent Lawyers(s): Darren R. Tolan, Gregory J. Sherwin
Arbitrator(s): Robert S. Fash, Clyde Kenan Oldham, Frederick N. Bailard
Hearing Site: Los Angeles, CA
| | $373,300 |
