| 07-02912 | 06/25/2010 | Claimant(s): Keith Steidle, Michael Astashkevich, Roderick Norman
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Granite Securities, Obsidian Financial Group
Respondent Lawyers(s): Brian Reis
Arbitrator(s): Walter A. Kapuscinski, David L. Becker, Philip W Gaffney
Hearing Site: Newark, NJ
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| 08-01708 | 05/24/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Mark Pollack
Respondent Lawyers(s): Mark Pollack
Arbitrator(s): Jeffrey Steinberg, Nathan J. Minucci, Ernest Edward Badway
Hearing Site: Newark, NJ
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| 09-05484 | 04/20/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Chad Gottlieb
Respondent(s): Jose Rosario
Respondent Lawyers(s): Jose Rosario
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 08-02101 | 03/10/2010 | Claimant(s): Michael Keleher
Claimant Lawyers(s): Saul Roffe
Respondent(s): Christian Wagner, Richard Patrick, ING Financial Partners.
Respondent Lawyers(s): Luigi Spadafora, Paula D. Shaffner, Richard Vincent Patrick
Arbitrator(s): Edward L. Levine, Edith M. Novack, Dawn Suzanne Simon Talbot
Hearing Site: Newark, NJ
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| 07-03583 | 03/09/2010 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Brad Nussbaum
Respondent Lawyers(s): Brad N. Nussbaum
Arbitrator(s): Harry D. Frisch
Hearing Site: Newark, NJ
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| 08-04065 | 01/13/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Steven Newman
Respondent Lawyers(s): Steven Arthur Newman
Arbitrator(s): Edith M. Novack, Simone A. Muscarnera, Jeffrey H. Rosenthal
Hearing Site: Newark, NJ
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| 09-04000 | 01/13/2010 | Claimant(s): Antonio Lisi
Claimant Lawyers(s): Antonio Lisi
Respondent(s): Conseco Financial Services., Conseco Inc.
Respondent Lawyers(s): Josh F. Brown
Arbitrator(s): Daniel P. Lund
Hearing Site: Newark, NJ
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| 09-01697 | 12/17/2009 | Claimant(s): Charles Lellman
Claimant Lawyers(s): Gregg Mele
Respondent(s): Granta Capital Group LLC
Respondent Lawyers(s): Francis Duffy
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
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| 08-03682 | 12/15/2009 | Claimant(s): Saxony Securities.
Claimant Lawyers(s): Christopher T. O'Connor
Respondent(s): Craig Langweiler
Respondent Lawyers(s): Craig G. Langweiler
Arbitrator(s): Linda T. Pellegrino, Joan M. Traub, Robert J. Gorgia
Hearing Site: Newark, NJ
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| 08-03045 | 11/30/2009 | Claimant(s): J.B. Hanauer & Co.
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Robert Grossman
Respondent Lawyers(s): Evan S. Neadel
Arbitrator(s): James J. Noone, Herbert Z. Geiger, John W. Thomas
Hearing Site: Newark, NJ
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