| 09-04153 | 07/28/2010 | Claimant(s): Daniel Hanover
Claimant Lawyers(s): Laurie Alexander-Krom
Respondent(s): Cowen & Company
Respondent Lawyers(s): Lloyd S Clareman
Arbitrator(s): Robert J. Ambrogi, Thomas J. Donoghue, John Joseph Cotter
Hearing Site: Boston, MA
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| 08-04607 | 05/28/2010 | Claimant(s): Peter Kuper
Claimant Lawyers(s): Patricia A. Washienko
Respondent(s): Morgan Stanley & Co., Stephen Penwell
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Nelson P. Lovins, Stephen Z. Frank, Lee McHarg Holland
Hearing Site: Boston, MA
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| 09-05062 | 05/26/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Kirk Barrett
Respondent Lawyers(s): Kirk Christopher Barrett
Arbitrator(s): Stephen Z. Frank
Hearing Site: Boston, MA
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| 09-03441 | 04/26/2010 | Claimant(s): Peter Lombard
Claimant Lawyers(s): Howard I. Elman
Respondent(s): Jefferies & Company., Jefferies Group.
Respondent Lawyers(s): David Elsberg
Arbitrator(s): Howard I. Wilgoren, Jeffrey P. Petrucelly, Dennis R. Surprenant
Hearing Site: Boston, MA
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| 08-02559 | 04/08/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Mark Adams
Respondent Lawyers(s): Mark Allen Adams
Arbitrator(s): Robert Goldberg, Dallas Whitney Coffman, Patrick W. McKeon
Hearing Site: Boston, MA
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| 09-04891 | 03/11/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Edward O'Connor
Respondent Lawyers(s): Edward Thomas O'Connor
Arbitrator(s): Stephen Z. Frank
Hearing Site: Boston, MA
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| 08-03941 | 02/24/2010 | Claimant(s): Leerink Swann LLC
Claimant Lawyers(s): David C. Casey
Respondent(s): Martin Joyce
Respondent Lawyers(s): Thomas J. Butters
Arbitrator(s): John A. Goc, Pete S. Michaels, John Joseph Cotter
Hearing Site: Boston, MA
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| 07-01736 | 01/05/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David L. Ward
Respondent(s): James Dowd, John McMahon, Morgan Stanley & Co., Mark Brown, Todd Walker
Respondent Lawyers(s): Michael L. Chinitz, Michael L. Rosen
Arbitrator(s): John R. Thompson, Sandor I. Rabkin, Thomas J. Horack
Hearing Site: Boston, MA
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| 08-04393 | 11/11/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): John Leonetti
Respondent Lawyers(s): Paul J. Vincenti
Arbitrator(s): Richard J. Grahn, Marilyn H. Zuckerman, Dennis R. Surprenant
Hearing Site: Boston, MA
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| 08-00912 | 10/27/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Michael McAllister
Respondent(s): Albert Lowenthal
Respondent Lawyers(s): Michael McAllister
Arbitrator(s): Kelly M. Lonergan, Sharon L. Monroe, B. J. Krintzman
Hearing Site: Boston, MA
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