| 09-01316 | 11/12/2009 | Claimant(s): Newbridge Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): David Lesko
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Sandra J. Bakalus
Hearing Site: Ft. Lauderdale, FL
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| 09-03716 | 11/12/2009 | Claimant(s): David Feuer, Susan Feuer, D. Feuer DDS PST & 401K Plan U/A 7/1/03, D. Feuer DDS PST & 401K Plan, U/A 7/13/7, David D. Feuer Trust U/A 11/29/96
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): VFinance Investments.
Respondent Lawyers(s): Patrick L. Hilton
Arbitrator(s): Marie G. Peterson
Hearing Site: Boca Raton, FL
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| 08-04393 | 11/11/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): John Leonetti
Respondent Lawyers(s): Paul J. Vincenti
Arbitrator(s): Richard J. Grahn, Marilyn H. Zuckerman, Dennis R. Surprenant
Hearing Site: Boston, MA
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| 09-00550 | 11/11/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): William Stroup
Respondent Lawyers(s): William Clayton Stroup
Arbitrator(s): Frank F. Foys, Robert B. Schmidt, Suanne F. Goldman
Hearing Site: Chicago, IL
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| 09-02026 | 11/11/2009 | Claimant(s): Timothy Parker
Claimant Lawyers(s): Timothy E Parker
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Cathy Gress Springer
Arbitrator(s): Jerry M. Helfand
Hearing Site: Minneapolis, MN
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| 09-02803 | 11/11/2009 | Claimant(s): Max International Broker/dealer Corp.
Claimant Lawyers(s): David Isolano
Respondent(s): Moulero Zossou
Respondent Lawyers(s): Moulero Uh Zossou
Arbitrator(s): Anthony Michael Sabino
Hearing Site: New York, NY
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| 08-04148 | 11/10/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Donald B. Wallace
Respondent(s): Charles Buckhannon
Respondent Lawyers(s): Rosemary Cook
Arbitrator(s): George N. Roy, Irving Mindes, Marc Kalish
Hearing Site: Phoenix, AZ
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| 09-01912 | 11/10/2009 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Alana Sanderson, Mark Bratton
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Mark C. Watler, Ross D. Friend, Oren L. Connaway
Hearing Site: Houston, TX
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| 08-01895 | 11/06/2009 | Claimant(s): Donato Giaquinto
Claimant Lawyers(s): Donald P. Russo
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Thomas J. Momjian
Arbitrator(s): E. William Pastor, Joseph Grant McCabe, Kenneth D. Morris
Hearing Site: Philadelphia, PA
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| 07-03536 | 11/04/2009 | Claimant(s): Michael Lewis
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Nordic Partners.
Respondent Lawyers(s): Joseph Sullivan
Arbitrator(s): Veera V. Konka, Preston V. Pumphrey, Howard Weitz
Hearing Site: New York, NY
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