| 09-01919 | 09/28/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Christopher Weighart
Respondent Lawyers(s): Christopher Grey Weighart
Arbitrator(s): Joseph F. Pittelli
Hearing Site: Philadelphia, PA
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| 07-03541 | 09/03/2009 | Claimant(s): Agile Investments.
Claimant Lawyers(s): David E. Robbins
Respondent(s): D & D Securities., Solaris Alternative Capital Partners
Respondent Lawyers(s): Jeffrey Rosen, Paula D. Shaffner
Arbitrator(s): Mary Ann M. Melchiorre, Stephen T. Mayhew, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
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| 08-03446 | 08/10/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Michael Desfor
Respondent Lawyers(s): Michael Eric Desfor
Arbitrator(s): Edward T. Borer, Walter J. Schwenk, James T. McLaughlin
Hearing Site: Philadelphia, PA
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| 06-03828 | 07/27/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Eric Boory, Eric Stevens, Gerald Grossman, Morgan Stanley DW Inc., Scott Lerner, Stanley Lerner
Respondent Lawyers(s): John Greco, Philip J. Campisi
Arbitrator(s): Sheldon Seligsohn, Glenn J. Hansen, Susan Mills Richmond
Hearing Site: Philadelphia, PA
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| 07-02501 | 07/13/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Jeffrey Farrell
Respondent Lawyers(s): Jeffrey T. Farrell
Arbitrator(s): Richard A. Purkiss, Michael Allen Zeiler, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
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| 07-02208 | 06/09/2009 | Claimant(s): Saundra Genoni
Claimant Lawyers(s): Christopher Coss
Respondent(s): Bradford Shaffer
Respondent Lawyers(s): Claudine Q. Homolash
Arbitrator(s): Joseph L. Farrell, Richard Frank Colello, Thomas J. Beagan
Hearing Site: Philadelphia, PA
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| 08-01606 | 05/26/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Nicole Stadelmaier
Respondent(s): Gregory Ricker
Respondent Lawyers(s): Grover S. Parnell, Jr.
Arbitrator(s): Alan M. Schankel, Felix A. Meschini, John T. Hausladen
Hearing Site: Philadelphia, PA
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| 06-02690 | 05/11/2009 | Claimant(s): Vincent Lowry
Claimant Lawyers(s): Jean Hanna Bickhart
Respondent(s): Robert McMahon
Respondent Lawyers(s): Stephan Matanovic
Arbitrator(s): Michael Quarto, Gordon E. Wright, L. Martin Miller
Hearing Site: Philadelphia, PA
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| 07-01842 | 05/06/2009 | Claimant(s): Ryan Beck & Co.
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Gennaro Vuono, William Bucci
Respondent Lawyers(s): John N. Salla
Arbitrator(s): Richard A. Purkiss, Andrew W. Davitt, Howard B. Scherer
Hearing Site: Philadelphia, PA
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| 07-01843 | 05/06/2009 | Claimant(s): Ryan Beck & Co.
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Gennaro Vuono
Respondent Lawyers(s): Leonard N. Zito
Arbitrator(s):
Hearing Site: Philadelphia, PA
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