| 12-00961 | 12/20/2013 | Claimant(s): Clocktower Tax Credits LLC, Northeast Securities.
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Vert Investment Group, Vert Securities, Llc
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
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| 11-03923 | 05/24/2013 | Claimant(s): Obsidian Financial Group, Llc
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Keith Steidle
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Yvonne F. Rocco, S. Charles Tabak, Jay Alan Kranis
Hearing Site: Newark, NJ
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| 11-03621 | 05/25/2012 | Claimant(s): Obsidian Financial Group, Llc
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Akil Channer
Respondent Lawyers(s): Akil Jelani Channer
Arbitrator(s): Toby Susan DeSimone
Hearing Site: New York, NY
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| 10-04203 | 10/06/2011 | Claimant(s): Judy Phinizy
Claimant Lawyers(s): Lewis Harley
Respondent(s): Moody Securities, Llc
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Bertrand C. Moser, Jeff Kilgore, David D. McNally
Hearing Site: Houston, TX
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| 09-04261 | 06/09/2011 | Claimant(s): Chicago Investment Group, Llc
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Cinthia Collins
Respondent Lawyers(s): Cinthia Faye Collins
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
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| 09-06520 | 08/24/2010 | Claimant(s): Wells Fargo Investments, Llc
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Donald Duarte
Respondent Lawyers(s): Donald A. Duarte
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
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| 08-02357 | 08/07/2009 | Claimant(s): ABS Brokerage Services, Iseroute, Llc, Pro Securities, L.L.C.
Claimant Lawyers(s): Carl M. Greenfeld
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Donald J. Rasweiler, Arthur P. Fisch, Douglas F. Stone
Hearing Site: New York, NY
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