| 05-06621 | 09/17/2007 | Claimant(s): Vincent Sanalucia
Claimant Lawyers(s): Thomas C. Wagner
Respondent(s): Richard Ganim, Legacy Financial Services., Questar Capital Corporation
Respondent Lawyers(s): Joel Wertman, John P. Thomas, Robert J. Hanna
Arbitrator(s): Jeffrey M. Bain, Jason C. Blackford, Robert M. Shwab
Hearing Site: Cleveland, OH
|  | $0 |
| 06-04655 | 09/17/2007 | Claimant(s): Richard Ford
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Andrew Samalin, Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Daniel B. Berkson, Leah G. Rabinowitz, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | $0 |
| 07-00263 | 09/17/2007 | Claimant(s): Roslyn Maren
Claimant Lawyers(s): Joanne A. Schultz
Respondent(s): Moors & Cabot., Winslow, Evans & Crocker.
Respondent Lawyers(s): Peter F. Flynn, Robert N. Rapp
Arbitrator(s): Murray S. Marsh, Henry J. Beetz, Richard D. Rosenbloom
Hearing Site: Buffalo, NY
| | $0 |
| 07-01511 | 09/17/2007 | Claimant(s): Ronald Tomaszewski, Susan Tomaszewski
Claimant Lawyers(s): Ronald E. Tomaszewski, Susan M. Tomaszewski
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Abby Henig
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | $0 |
| 06-02201 | 09/14/2007 | Claimant(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Patricia Sons Biswanger
Respondent(s): James Montalto, James Weil
Respondent Lawyers(s): Elise Schwarz
Arbitrator(s): Nancy Plesser Wendell, Michael Todd Clements, Robert W. Kenter
Hearing Site: New York, NY
| | |
| 06-02499 | 09/14/2007 | Claimant(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Patricia Sons Biswanger
Respondent(s): James Montalto
Respondent Lawyers(s): Elise Schwarz
Arbitrator(s):
Hearing Site: New York, NY
| | |
| 06-04625 | 09/14/2007 | Claimant(s): Betty Gray
Claimant Lawyers(s): Richard C. Downing
Respondent(s): Charles George, Citigroup Global Markets.
Respondent Lawyers(s): Donald J. Mehan, Hugo A. Hilgendorff
Arbitrator(s): Ronald R. Wilhelm, Elton W. Chartrand, Carolyn L. Witherspoon
Hearing Site: Little Rock, AR
| | $1,157,380 |
| 02-05541 | 09/13/2007 | Claimant(s): Gary Chan
Claimant Lawyers(s): G. Sterling Perry
Respondent(s): Traderfield Securities., Unise Investment Corp.
Respondent Lawyers(s): Christine Bae, G. Sterling Perry
Arbitrator(s): Simon S. Kogan, Barnard Seligman, John E. Shine
Hearing Site: New York, NY
| | |
| 06-03969 | 09/13/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jennifer Burke
Respondent(s): Renee Isely, Robert Tobin
Respondent Lawyers(s): Mark P. Carey
Arbitrator(s): William Henry Joseph, David R. Bolnick
Hearing Site: New York, NY
| | |
| 06-03970 | 09/13/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): Renee Isely
Respondent Lawyers(s): Mark P. Carey
Arbitrator(s):
Hearing Site: New York, NY
| | |
