| 08-02932 | 02/18/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): James Patton
Respondent Lawyers(s): Lisa Bond
Arbitrator(s): Basil Lewis, Willard H. Altman, James Belk
Hearing Site: Los Angeles, CA
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| 08-04560 | 02/18/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kevin Trizila
Respondent Lawyers(s): Kevin M. Trizila
Arbitrator(s): William E. Barker, Todd R. Gough, Karen J. Zvonecek
Hearing Site: Dallas, TX
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| 09-02848 | 02/18/2010 | Claimant(s): William Ortner
Claimant Lawyers(s): Jonathan S. Shapiro
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Michael G. Shannon, Linda R. Alpert, Kinchen C. Bizzell
Hearing Site: New York, NY
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| 09-04061 | 02/18/2010 | Claimant(s): Joel Handorf
Claimant Lawyers(s): Eric A. Michaels
Respondent(s): Charles Luttjohann, Charles D. Luttjohann, IRRA
Respondent Lawyers(s): Martin B. Greenbaum
Arbitrator(s): Charles D. Underwood, Matthew Harold Fields
Hearing Site: Columbus, OH
| | Expungement |
| 06-04943 | 02/17/2010 | Claimant(s): Dann Neale, Kevin Cougle
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Richard D. Rosenbloom, Joan B. Alexander, Frederick N.C. Jerauld
Hearing Site: Buffalo, NY
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| 08-04000 | 02/17/2010 | Claimant(s): Jerome Jamtel
Claimant Lawyers(s): Andrew J. Melnick
Respondent(s): Calyon Securities (USA) Inc.
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Edward G. Toptani, Carole L. Green, Judith P. Brooks
Hearing Site: New York, NY
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| 08-04196 | 02/17/2010 | Claimant(s): SMH Capital.
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): Louis Berkowitz
Respondent Lawyers(s): Jeffrey L. Cox
Arbitrator(s): Kalman J. Lester, Gary Paul Whorton, Eugene D. Mirabello
Hearing Site: Boca Raton, FL
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| 09-04898 | 02/17/2010 | Claimant(s): Newbridge Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Bret Shofner
Respondent Lawyers(s): Bret Nelson Shofner
Arbitrator(s): Jeffrey C. Thompson
Hearing Site: Boca Raton, FL
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| 08-04786 | 02/16/2010 | Claimant(s): Christopher Cohn, Laurens Rhinelander, Simon Lewis
Claimant Lawyers(s): Erwin Shustak
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Andrew J. Ceresney
Arbitrator(s): Anatoly "Tony" Zuban, Deanna Margaret Veitia, Michael D. Briggs
Hearing Site: San Diego, CA
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| 08-04292 | 02/12/2010 | Claimant(s): Tyler Smith
Claimant Lawyers(s): Bradley Wm. Bowen
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Julia C. Webb
Arbitrator(s): Jesse Stuart Shackelford, Joel T. Marker, John G. Manley
Hearing Site: Salt Lake City, UT
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