08-00688 | 12/29/2009 | Claimant(s): P. Isenberg Claimant Lawyers(s): Neal J. Blaher Respondent(s): Synergy Investment Group Respondent Lawyers(s): Dexter B. Johnson Arbitrator(s): Robert T. Allen, Mary C. Thornberry, David M. Pierce Hearing Site: Charlotte, NC
| | |
08-02482 | 12/29/2009 | Claimant(s): Lance Beck Claimant Lawyers(s): Joseph B. Alonso Respondent(s): Suntrust Robinson Humphrey. Respondent Lawyers(s): Terry R. Weiss Arbitrator(s): Joyce F. Glucksman, Monique Michelle Wilkerson, Bonnie B. Revoner Hearing Site: Atlanta, GA
| | |
09-02477 | 12/29/2009 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Cory S. Zadanosky Respondent(s): Daniel Carriazo Respondent Lawyers(s): Daniel J. Carriazo Arbitrator(s): Joel Margolies, Harry Dressler, Harold F. Corrigan Hearing Site: Miami, FL
| | |
09-00196 | 12/23/2009 | Claimant(s): Steven Sorensen Claimant Lawyers(s): Richard P. Jeffries Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Sheetal Parikh Arbitrator(s): Gerald J. Stratman, Bruce Keplinger, Lawrence P. McLellan Hearing Site: Omaha, NE
| | |
07-01400 | 12/22/2009 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Joseph E. Gehring Respondent(s): Wachovia Securities, Jason Siegel Respondent Lawyers(s): David L. Ward Arbitrator(s): William J. Crowe, Gerry E. Feinberg, Aubrey Lees Hearing Site: New York, NY
| | |
09-01972 | 12/22/2009 | Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Patrick J. Folan Respondent(s): Eric Rice Respondent Lawyers(s): Eric Allen Rice Arbitrator(s): James B. Guillou Hearing Site: San Diego, CA
| | |
09-02038 | 12/22/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Kevin Carroll Respondent Lawyers(s): Brian D. Rich Arbitrator(s): Jack B. Golden Hearing Site: Hartford, CT
| | |
08-00527 | 12/21/2009 | Claimant(s): David Lehrer, Dennis Contrestano, Jack Swenson, Michael Luby, Michael Patterson, Michael Swenson, Patrick Howell, Stephen Hird Claimant Lawyers(s): Amanda M. Knudsen Respondent(s): Piper Jaffray & Co., Piper Jaffray Companies Respondent Lawyers(s): Julie A. Kole Arbitrator(s): Thomas C. McNally, Sterling N. Frost, Jerold R. Babin Hearing Site: San Francisco, CA
| | |
08-03977 | 12/21/2009 | Claimant(s): Signal Securities Inc. Claimant Lawyers(s): Gilbert W. Boyce Respondent(s): David Beck Respondent Lawyers(s): David L. Beck Arbitrator(s): Arthur H. Geffen, Priscilla Kim Park, Preston Deaton Rigsby Hearing Site: Dallas, TX
| | |
08-04720 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies Claimant Lawyers(s): Steven M. Phillips Respondent(s): Barney Cohen, Bradley Fisher, Richard Meyers, Scott Merriman, Scott Smallman, Steven Charlston, Warren Mach Respondent Lawyers(s): Amanda M. Knudsen Arbitrator(s): Hearing Site: Seattle, WA
| | |