| 07-02619 | 06/06/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): John Ryan
Respondent Lawyers(s): Jeffrey E. Stark
Arbitrator(s): Judith E. Gross, Fred D. Nicolois, Walter John Engels
Hearing Site: New York, NY
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| 09-04395 | 03/15/2010 | Claimant(s): Douglas Cummins
Claimant Lawyers(s): Alan L. Sklover
Respondent(s): Israel A. Englander & Co..
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Judith E. Gross, Carolyn J. Mastropieri, Irene C. Warshauer
Hearing Site: New York, NY
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| 08-01098 | 01/02/2009 | Claimant(s): George Grafas
Claimant Lawyers(s): Charles Von Simson
Respondent(s): Whitaker Securities LLC
Respondent Lawyers(s): Scott D. Stechman
Arbitrator(s): Judith E. Gross, Alvin Green, Renee S. Rothschild
Hearing Site: New York, NY
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| 07-03592 | 10/22/2008 | Claimant(s): Gregory Eagan
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Richard B. Palmer
Arbitrator(s): Diane Getzler, Judith E. Gross, Toby Susan DeSimone
Hearing Site: New York, NY
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| 08-00969 | 10/17/2008 | Claimant(s): Aegis Capital Corp.
Claimant Lawyers(s): Michael H. Ference
Respondent(s): Munir Mrkulic
Respondent Lawyers(s): Munir Henry Mrkulic
Arbitrator(s): Judith E. Gross
Hearing Site: New York, NY
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