| 06-02921 | 09/24/2007 | Claimant(s): Jennifer Smith
Claimant Lawyers(s): Hans H. Huang
Respondent(s): Chris Suarez, Ryan Ku, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, Ryan H. Ku
Arbitrator(s): John R. Canada, Leonard E. Benade, David P. McDuffee
Hearing Site: Raleigh, NC
|  | Settlement |
| 06-04143 | 09/24/2007 | Claimant(s): Claire Cross
Claimant Lawyers(s): Mark H. How
Respondent(s): Samuel Solomon, Solomon Advisors
Respondent Lawyers(s): Samuel P. Solomon
Arbitrator(s): Joann Peters, Martha Z. Ralstin, Raul Antonio Canez
Hearing Site: Dallas, TX
| | $232,300 |
| 05-06038 | 09/24/2007 | Claimant(s): Christopher Glaub
Claimant Lawyers(s): James C. Steffl
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lauryn J. Hart
Arbitrator(s): Edward Rosenbaum, Allan G. Vagstad, Lee Hornberger
Hearing Site: Detroit, MI
| | $0 |
| 07-01255 | 09/24/2007 | Claimant(s): Beverly Ashton
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Stanley DW Inc., Ralph Drayer
Respondent Lawyers(s): Christopher Gawley
Arbitrator(s): R. Thomas Barksdale, Bill Swinford, Frank E. Barnett
Hearing Site: Nashville, TN
| | $0 |
| 07-01257 | 09/21/2007 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Carrie L Chelko
Respondent(s): Thomas Taylor
Respondent Lawyers(s): Thomas Howard Taylor
Arbitrator(s): John Joseph Cotter
Hearing Site: Providence, RI
| | |
| 07-01358 | 09/21/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joan Toro
Respondent(s): Elmer Johnson
Respondent Lawyers(s): Elmer Johnson
Arbitrator(s): Sally Phillips Pasette
Hearing Site: Seattle, WA
| | $0 |
| 05-06369 | 09/21/2007 | Claimant(s): Davenport Alley Partnership
Claimant Lawyers(s): Steven S. Biss
Respondent(s): National Securities Corporation, Steve Taton
Respondent Lawyers(s): Mark Roth, William G. Shields
Arbitrator(s): Anne W. Larkin, Emerson R. Marks, W. Scott Greco
Hearing Site: Richmond, VA
| | $0 |
| 07-01436 | 09/20/2007 | Claimant(s): McGinn Smith & Co..
Claimant Lawyers(s): Joseph B. Carr
Respondent(s): Derek Paulsen, Seth Stone
Respondent Lawyers(s): Derek Douglas Paulsen, Seth Michael Stone
Arbitrator(s): Frank Irizarry
Hearing Site: Albany, NY
| | |
| 07-01622 | 09/20/2007 | Claimant(s): IFMG Securities., IFS AGencies., Independent Financial Marketing Group
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Michael Woodman
Respondent Lawyers(s): Gary C. Crossen
Arbitrator(s): Charles A. Goglia, Robert V. Deiana, Laura M. Nelson
Hearing Site: Boston, MA
| | |
| 06-02945 | 09/20/2007 | Claimant(s): David Peterson, IRA, David and Grace Peterson
Claimant Lawyers(s): Jeffrey J. Lowe
Respondent(s): A.G. Edwards & Sons., William Ferry
Respondent Lawyers(s): William Patrick Ferry, William S. Port
Arbitrator(s): Michael L. Lyons, Edward C. Lawrence, Richard D. Link
Hearing Site: St. Louis, MO
| | $5,600 |
