08-04520 | 12/14/2009 | Claimant(s): Jeffrey Howes Claimant Lawyers(s): Mark D Chester Respondent(s): Peak Securities Corporation Respondent Lawyers(s): David W. Dube Arbitrator(s): Charles W. Herf Hearing Site: Phoenix, AZ
| | |
08-00844 | 12/11/2009 | Claimant(s): David Aquilina Claimant Lawyers(s): Daniel W. Rucker Respondent(s): Daniel Mooradian, Gary Jbara, Citigroup Global Markets., Jessie Collins-Rehil, Lewis Walterhouse, Mark Rogers, Robert Bradley, Thomas Welch Respondent Lawyers(s): Jerry M. Santangelo Arbitrator(s): Jeffry M. Bauer, Carole M. Crosby, Harold Hood Hearing Site: Detroit, MI
| | |
09-00625 | 12/11/2009 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Erin E. Mac Avoy Respondent(s): Guillermo Forero Respondent Lawyers(s): Guillermo Forero Arbitrator(s): Neil J. Berman Hearing Site: Ft. Lauderdale, FL
| | |
09-01241 | 12/11/2009 | Claimant(s): Nicholas Weiss Claimant Lawyers(s): Stephen J. Nelson Respondent(s): Saratoga Capital d/b/a Saratoga Cap Respondent Lawyers(s): Kim Lauren Michael Arbitrator(s): Saul W. Nirenberg, Sandra Gale Behrle, Robert S. Getman Hearing Site: New York, NY
| | |
07-00680 | 12/10/2009 | Claimant(s): Kevin LeBlanc, Robert Berg Claimant Lawyers(s): Jim L. Batson Respondent(s): Wachovia Securities Respondent Lawyers(s): Leonard Weintraub Arbitrator(s): Robert L. Nisely, Christine Moore, Keith Eric Bettencourt Hearing Site: New York, NY
| | |
08-03834 | 12/10/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Bradley Stipp Respondent Lawyers(s): Fred B. Monroe Arbitrator(s): Charles Glass Smith, Barry M. Cheren, Kenneth B. Orenbach Hearing Site: Charlotte, NC
| | |
09-03029 | 12/09/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Joseph Morrow Respondent Lawyers(s): Joseph H. Morrow Arbitrator(s): Paul K. Barenholtz Hearing Site: New York, NY
| | |
09-03263 | 12/09/2009 | Claimant(s): Jefferies & Company. Claimant Lawyers(s): Robert L. Herskovits Respondent(s): John Coen Respondent Lawyers(s): John Paul Coen Arbitrator(s): Irwin Kahn, Lewis B. Insler Hearing Site: New York, NY
| | |
07-03161 | 12/08/2009 | Claimant(s): Mark Bowman Claimant Lawyers(s): Mark J. Appleton Respondent(s): Wells Fargo Investments, U.S. Bancorp Investments. Respondent Lawyers(s): John S. Lutz, Lee Merreot Arbitrator(s): Steven Meyrich, Patti Fellows Peters, David L. Erickson Hearing Site: Denver, CO
| | |
09-03228 | 12/07/2009 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Diana Sur Respondent(s): Gerald Chassang Respondent Lawyers(s): Gerald D. Chassang Arbitrator(s): Duncan H. Cameron Hearing Site: Tampa, FL
| | |