| 06-00118 | 08/30/2007 | Claimant(s): William Marshall, Hartunian Family Trust UTD 3/8/95
Claimant Lawyers(s): David Casterline, Scott R. Shewan
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Barbara M. Zak, Allan D. Stampa, Christine Lonzello
Hearing Site: Los Angeles, CA
|  | $0 |
| 06-04403 | 08/29/2007 | Claimant(s): Jonathan Davies
Claimant Lawyers(s): Jonathan Davies
Respondent(s): Gilad Sartena
Respondent Lawyers(s): Gilad Sartena
Arbitrator(s): John E. Hansen, Thomas J. Luz, Ralph A. DeSena
Hearing Site: New York, NY
| | $25,000 |
| 07-01278 | 08/29/2007 | Claimant(s): Mildred Markowski
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Bonnie Stein, Christopher Davis, Jennifer Vollmer, Mary-Ann Princinsky, Neil Adleberg, Scott Grebenstein, William Skinner
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Paul H. Lamboley, William R. Rafti, Linda Jane Jones
Hearing Site: Las Vegas, NV
| | Expungement |
| 05-05681 | 08/28/2007 | Claimant(s): Granite Associates
Claimant Lawyers(s): Catania Facher
Respondent(s): James Flower, Michael Resciniti, Richard Coleman, Thomas Tedeschi, Wayne Ford
Respondent Lawyers(s): Brett D. Zinner, Brian J. Neville
Arbitrator(s): Cecilia B. Loving, Ira S. Cure, Anthony Charles Ginetto
Hearing Site: New York, NY
| | |
| 06-02961 | 08/28/2007 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Ron Kane
Respondent(s): Peyton Jackson
Respondent Lawyers(s): H. Bradley Evans
Arbitrator(s): Ralph S. Blascovich, Carole Rollinson, Wilson Thompson
Hearing Site: Washington, DC
| | |
| 07-00623 | 08/28/2007 | Claimant(s): Pro-Integrity Securities.
Claimant Lawyers(s): William Perry
Respondent(s): Walter Clark
Respondent Lawyers(s): Walter Clark
Arbitrator(s): Catherine Ladnier
Hearing Site: Baltimore, MD
| | |
| 05-06404 | 08/28/2007 | Claimant(s): Richard M., and Sandra J. Pierzynski
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Patrick Drouillard, Hantz Financial Services.
Respondent Lawyers(s): Bradley J. Schram
Arbitrator(s): Harvey Frank, Benjamin A. Kerner, William David Jaeger
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 06-00784 | 08/28/2007 | Claimant(s): James Gallen, Mary Gallen
Claimant Lawyers(s): Richard Sacks
Respondent(s): Morgan Stanley DW Inc., Thomas Marinshaw
Respondent Lawyers(s): Aaron L. Danzer
Arbitrator(s): Linda H. Perry-Cabrera, Harve E. Citrin, Kenneth D. Gack
Hearing Site: San Francisco, CA
| | $375 |
| 06-04007 | 08/27/2007 | Claimant(s): Capital Growth Financial
Claimant Lawyers(s): Delmer C. Gowing
Respondent(s): Keith Gerr
Respondent Lawyers(s): Keith Gerr
Arbitrator(s): Arthur J. Leibell, Gary M. Landau, Walter John Chesney
Hearing Site: Boca Raton, FL
| | |
| 04-01862 | 08/27/2007 | Claimant(s): Virginia Kent, Louis and Virginia Kent
Claimant Lawyers(s): Martyn B. Hill
Respondent(s): Louis Kent, M. Bowles, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alan S. Rafterman, Martyn B. Hill
Arbitrator(s): Raymond E. Jennison, Carol A. Freeland, Patricia B. Lehtola
Hearing Site: Dallas, TX
| | $0 |
