| 09-02477 | 12/29/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Daniel Carriazo
Respondent Lawyers(s): Daniel J. Carriazo
Arbitrator(s): Joel Margolies, Harry Dressler, Harold F. Corrigan
Hearing Site: Miami, FL
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| 09-00855 | 11/18/2009 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Amy E. Sparrow
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Joel Margolies, Mark I. Scheinbaum, Paul Joseph McIntyre
Hearing Site: Boca Raton, FL
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| 09-00911 | 06/30/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Willie Brice
Respondent Lawyers(s): Willie J. Brice
Arbitrator(s): Joel Margolies
Hearing Site: Boca Raton, FL
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| 07-02664 | 03/18/2009 | Claimant(s): Capital Growth Financial
Claimant Lawyers(s): Michael Jacobs
Respondent(s): Gregg Nussbaum, First American Capital & Trading Corp.
Respondent Lawyers(s): Marc S. Dobin, Neil S. Baritz
Arbitrator(s): Jeffrey C. Thompson, Joel Margolies, Edward J. Gordon
Hearing Site: Boca Raton, FL
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