| 06-04150 | 09/13/2007 | Claimant(s): Joyce Schmidt
Claimant Lawyers(s): Francis V. Cristiano
Respondent(s): Roger Martin, Legacy Financial Services.
Respondent Lawyers(s): Jonathon D. Bergman
Arbitrator(s): Anthony B. Petrelli, Steven Meyrich, John Fleming Kelly
Hearing Site: Denver, CO
|  | $36,498 |
| 06-04784 | 09/13/2007 | Claimant(s): Pamela Maloof, Pamela M. Maloof IRA, Pamela M. Maloof, and Kathleen J. Smit
Claimant Lawyers(s): Jeffrey P. Hintermeister
Respondent(s): Christopher Saxon, Kathleen Smitz, Raymond James Financial Services.
Respondent Lawyers(s): Christopher Eric Saxon, Erin Linehan, Jeffrey P. Hintermeister
Arbitrator(s): Todd L. Barlow, John L. Krauss, Michael J. Cork
Hearing Site: Indianapolis, IN
| | $393,375 |
| 07-01246 | 09/13/2007 | Claimant(s): Robert L. Hill and Mary Hill
Claimant Lawyers(s): Christopher D. Hill
Respondent(s): Jeffrey Brauley, UBS Financial Services Inc., Richard Wilhelm
Respondent Lawyers(s): Margarita L. Marsico
Arbitrator(s): Lawrence W. Arness
Hearing Site: Louisville, KY
| | $425 |
| 01-05638 | 09/12/2007 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Anthony Ottimo, Jack Najarian, Michael Ward, Thomas Giugliano, William Odenthal
Respondent Lawyers(s): Catania Facher, Michael Ward, Robert M. Bursky
Arbitrator(s):
Hearing Site: New York, NY
| | |
| 01-05869 | 09/12/2007 | Claimant(s): Anthony Ottimo, Thomas Giugliano
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): Jack Najarian, Michael Ward, William Odenthal
Respondent Lawyers(s): Jack G. Najarian, Michael Ward, William J. Odenthal
Arbitrator(s): William J. Crowe, Madelon M. Rosenfeld, Eugene M. Schloss
Hearing Site: New York, NY
| | |
| 06-00299 | 09/12/2007 | Claimant(s): Tango Fashions Trading, Ltd.
Claimant Lawyers(s): David H. Fromm
Respondent(s): Jon Lee
Respondent Lawyers(s): Jon Lee
Arbitrator(s): Joseph R. Brancaleone, Howard L. Sobel, Doris B. Nathan
Hearing Site: New York, NY
| | $0 |
| 99-03196 | 09/12/2007 | Claimant(s): Estate of Edward A. Cantor
Claimant Lawyers(s): Michael M. Cantor
Respondent(s): Jeffrey Grayson, Gibraltar Securities Co., Equitable Distributors., Hartford Insurance Co.
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Philip M. Mandel, Kenneth L. Stewart, Kent L. Benziger
Hearing Site: New York, NY
| | $0 |
| 06-03414 | 09/11/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Danny Kiick
Respondent Lawyers(s): Danny Lee Kiick
Arbitrator(s): William C. Mallery
Hearing Site: San Francisco, CA
| | |
| 07-00061 | 09/11/2007 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Natalie C. Edie
Respondent(s): Eric Betancourt
Respondent Lawyers(s): Eric Matthew Betancourt
Arbitrator(s): Michael E. Olney
Hearing Site: New York, NY
| | |
| 06-02580 | 09/11/2007 | Claimant(s): Sheldon P. Spitz, TTEE, SOL Spitz CO.
Claimant Lawyers(s): Seth Muraskin
Respondent(s): Jeffrey Harriton, Timecaptial Securities Corporation
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Richard W Berenger, Jacob Aschkenasy, Larry Kars
Hearing Site: New York, NY
| | $0 |
