| 07-03384 | 10/20/2008 | Claimant(s): Ronald Waseleski
Claimant Lawyers(s): Ronald Richard Waseleski
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Garrett J. Dombrowski
Hearing Site: Newark, NJ
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| 07-01342 | 09/23/2008 | Claimant(s): Ryan Beck & Co.
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Paul Martin
Respondent Lawyers(s): Mark J. Astarita
Arbitrator(s): Patrick J. Howley, Ernest Edward Badway, Walter W. Jensen
Hearing Site: Newark, NJ
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| 07-02772 | 08/27/2008 | Claimant(s): Robert Laurent
Claimant Lawyers(s): Samuel J. Samaro
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Leslie R. Murtagh
Arbitrator(s): Dwight Wassong, Thomas A. Abitabile
Hearing Site: Newark, NJ
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| 05-00529 | 07/02/2008 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Sandra Grannum
Respondent(s): Christopher Becker
Respondent Lawyers(s): Christopher W. Becker
Arbitrator(s): Theodore Moreines, Nathan J. Minucci, Robert J. Gorgia
Hearing Site: Newark, NJ
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| 07-00534 | 06/23/2008 | Claimant(s): Thomas Mccarthy
Claimant Lawyers(s): Cindy D Salvo
Respondent(s): Financial Network Investment Corporation, Karoon Capital Markets.
Respondent Lawyers(s): Paul A. Lieberman, Thomas Vays
Arbitrator(s): Jeffrey Steinberg, Linda T. Pellegrino, Douglas John Baumann
Hearing Site: Newark, NJ
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| 07-00643 | 05/22/2008 | Claimant(s): Richard Olszewski
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Lewis Sanders, AllianceBernstein Investments., AllianceBerstein Investment Research
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Richard D. DeVita, Robert J. Gorgia, Renee S. Rothschild
Hearing Site: Newark, NJ
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| 05-04546 | 05/16/2008 | Claimant(s): SunAmerica Securities.
Claimant Lawyers(s): Barry R. Temkin
Respondent(s): Peter Sloan
Respondent Lawyers(s): Peter M. Sloan
Arbitrator(s): Patrick J. Howley, David J. Pine, Irwin Pronin
Hearing Site: Newark, NJ
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| 05-05634 | 05/15/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Hernandez
Respondent Lawyers(s): Jeanette H. Tejada
Arbitrator(s): James S. Goddard, Jodi A. Hopkinson, Frank Masi
Hearing Site: Newark, NJ
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| 06-00575 | 03/14/2008 | Claimant(s): James O'Leary
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Citigroup Global Markets., Ron Sallet
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Jack Friedman, Louis H. Miron, James M. Baumann
Hearing Site: Newark, NJ
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| 06-01988 | 03/03/2008 | Claimant(s): Stuart Lantz
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Kathleen M. Anderson
Arbitrator(s): Kip C. Lubcke, R. Scott Garley, Angela Lourdes Ortiz
Hearing Site: Newark, NJ
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