| 09-05358 | 08/25/2010 | Claimant(s): Mark Kaufman
Claimant Lawyers(s): Alan J. Foxman
Respondent(s): Vfinance Investments
Respondent Lawyers(s): James K. Barbee
Arbitrator(s): Joseph L. Bernstein, Randi Perry Spallina, Connie J. Becker
Hearing Site: Boca Raton, FL
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| 10-00923 | 08/19/2010 | Claimant(s): Dawson James Securities.
Claimant Lawyers(s): Albert J. Poliak
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Myron E. Levenson
Hearing Site: Boca Raton, FL
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| 09-02455 | 07/28/2010 | Claimant(s): Alan Kirman, Peter Dunn
Claimant Lawyers(s): David J. Feingold
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Ellen J. Abrams, Michael J. Quarequio, Andrew R. Present
Hearing Site: Boca Raton, FL
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| 08-01602 | 07/23/2010 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Owen Mulvaney
Respondent Lawyers(s): Owen Mulvaney
Arbitrator(s): Karen Z. Fischer, John Uustal, Dale W. Oliver
Hearing Site: Boca Raton, FL
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| 10-00595 | 07/12/2010 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Don R. Boswell
Respondent(s): Michael Volts
Respondent Lawyers(s): Michael Volts
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
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| 09-01713 | 05/10/2010 | Claimant(s): Mary Buchanan
Claimant Lawyers(s): Mary Jo Buchanan
Respondent(s): Leumi Investment Services.
Respondent Lawyers(s): Michelle I Bougdanos
Arbitrator(s): Kimberly A. Gilmour, Berthold T. Berkwich, Barry S. Shanbron
Hearing Site: Boca Raton, FL
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| 08-04982 | 05/04/2010 | Claimant(s): SMH Capital Inc.
Claimant Lawyers(s): Peter B. Wells
Respondent(s): Samuel Ruth
Respondent Lawyers(s): Samuel Alan Ruth
Arbitrator(s): Michele Y. Garelick, Alice J. Johnson, Donald M. Homer
Hearing Site: Boca Raton, FL
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| 08-04983 | 05/04/2010 | Claimant(s): SMH Capital.
Claimant Lawyers(s): Peter Wells
Respondent(s): Jonathan Marcu
Respondent Lawyers(s): Jonathan Ted Marcu
Arbitrator(s): Peter J. Lavezzoli, Stephen L. Littauer, Jeffrey Lawrence Sarkin
Hearing Site: Boca Raton, FL
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| 07-02962 | 04/06/2010 | Claimant(s): Thomas Devere
Claimant Lawyers(s): Adam Palmer
Respondent(s): Peter McMullin, Robert Wasserman, Stephen Degroat, Empire Financial Group., Jesup & Lamont Securities Corp.
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Stan West, Karen Z. Fischer, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
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| 09-02476 | 04/06/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): David Frand
Respondent Lawyers(s): David N. Frand
Arbitrator(s): Theodore Kimelman
Hearing Site: Boca Raton, FL
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