| 09-06178 | 02/26/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): David Raack
Respondent Lawyers(s): David Raack
Arbitrator(s): Robert H. Putnam
Hearing Site: Houston, TX
| | |
| 09-02246 | 02/25/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Jeffrey Finder
Respondent Lawyers(s): Jeffrey C Finder
Arbitrator(s): Linda R. Alpert
Hearing Site: New York, NY
| | |
| 09-02294 | 02/25/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Colleen M. Fitzgerald
Respondent(s): Mary White
Respondent Lawyers(s): Drake Mann
Arbitrator(s): Robert A. Sauerberg, Will Murphy, Alan H. Maltenfort
Hearing Site: Little Rock, AR
| | |
| 08-03941 | 02/24/2010 | Claimant(s): Leerink Swann LLC
Claimant Lawyers(s): David C. Casey
Respondent(s): Martin Joyce
Respondent Lawyers(s): Thomas J. Butters
Arbitrator(s): John A. Goc, Pete S. Michaels, John Joseph Cotter
Hearing Site: Boston, MA
| | |
| 09-04597 | 02/24/2010 | Claimant(s): Paulson Investment Company
Claimant Lawyers(s): Jonathan A. Kurta
Respondent(s): Chris Wiseman
Respondent Lawyers(s): Chris Michael Wiseman
Arbitrator(s): Denzil J. Klippel
Hearing Site: New York, NY
| | |
| 09-04965 | 02/23/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Ferguson
Respondent Lawyers(s): William Allen Ferguson
Arbitrator(s): Harold Engelman
Hearing Site: Raleigh, NC
| | |
| 09-05256 | 02/23/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Jeffrey Gavigan
Respondent Lawyers(s): Jeffrey T. Gavigan
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | |
| 08-04640 | 02/22/2010 | Claimant(s): Richard Lucas
Claimant Lawyers(s): Harry N. Turk
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Robert S. Natiss, Herbert Branitsky, Steven E. Eisenberg
Hearing Site: Boca Raton, FL
| | |
| 08-04656 | 02/22/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Manoj R. Andalkar
Respondent(s): Michael Sheriff
Respondent Lawyers(s): Michael Andrew Sheriff
Arbitrator(s): Vaughn Thomas Hale, William Montgomery, Bryan L. Herrmann
Hearing Site: Los Angeles, CA
| | |
| 09-02837 | 02/19/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): L. Boyce
Respondent Lawyers(s): L. Marvin Boyce
Arbitrator(s): Bert S Cliff, John B. Glueckert, Gary R. Miles
Hearing Site: Charleston, WV
| | |
