| 08-03700 | 07/01/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Kiran V. Somashekara
Respondent(s): John Lee
Respondent Lawyers(s): John M Lee
Arbitrator(s): Nathan J. Minucci
Hearing Site: Newark, NJ
| | |
| 08-02122 | 05/14/2009 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Christopher G. Massey
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Herbert Z. Geiger
Hearing Site: Newark, NJ
| | |
| 08-03163 | 05/05/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Thomas Dering
Respondent Lawyers(s): Thomas H. Dering
Arbitrator(s): John B. Ryan
Hearing Site: Newark, NJ
| | |
| 06-04482 | 04/24/2009 | Claimant(s): William Scott
Claimant Lawyers(s): David Burton Brady
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Claidia M. Cohen
Arbitrator(s): John B. Ryan, John J. Bucko, Robert J. Bender
Hearing Site: Newark, NJ
| | |
| 06-03789 | 04/16/2009 | Claimant(s): John Gaffney
Claimant Lawyers(s): Richard A. Herman
Respondent(s): Andrew Grillo, George Batelli Jr., Citigroup Global Markets., Maribeth Robinson, Peter Liebeskind, Steven Torrico
Respondent Lawyers(s): Christopher M. Galusha, Kevin B. Walker
Arbitrator(s): Charles A. Crocco, Marguerite B. Filson, Howard Breindel
Hearing Site: Newark, NJ
| | |
| 08-00123 | 04/16/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): J. Michael Riordan
Respondent(s): Joseph Delaura
Respondent Lawyers(s): Barry R. Lax
Arbitrator(s): Douglas John Baumann, Norman Kass, Robert Alan Mayer
Hearing Site: Newark, NJ
| | |
| 08-00344 | 04/16/2009 | Claimant(s): Joseph Delaura
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kenneth O'Connor
Arbitrator(s):
Hearing Site: Newark, NJ
| | |
| 06-04042 | 03/23/2009 | Claimant(s): Robert Traitz
Claimant Lawyers(s): James A. Batson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): Edith M. Novack, S. Charles Tabak, Phillip Benedetto
Hearing Site: Newark, NJ
| | |
| 08-02407 | 03/12/2009 | Claimant(s): The Jeffrey Matthews Financial Group LLC
Claimant Lawyers(s): Kenneth A. Elan
Respondent(s): Benjamin Miceli
Respondent Lawyers(s): Ronald J. Ricci
Arbitrator(s): Craig Scott Bartlett, Theodore Moreines, Richard H. Hoenig
Hearing Site: Newark, NJ
| | |
| 08-00184 | 03/11/2009 | Claimant(s): George Wolfgang, Est. of George J. Wolgang by Linda Meyer
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Leslie Shenkler
Respondent Lawyers(s): Leslie M. Greenspan
Arbitrator(s): Garrett J. Dombrowski, Anthony P. Connolly, Edith M. Novack
Hearing Site: Newark, NJ
| | |
