| 09-00618 | 11/04/2009 | Claimant(s): Joseph Mattia
Claimant Lawyers(s): Adam D. Mitzner
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patricia A. Tsipras
Arbitrator(s): Thomas Caiaffa, Kenneth Diamond, Abigail J. Pessen
Hearing Site: New York, NY
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| 09-01505 | 11/04/2009 | Claimant(s): EKN Financial Services Inc.
Claimant Lawyers(s): Thomas Giugliano
Respondent(s): Shahriar Sabi
Respondent Lawyers(s): Barry Temkin
Arbitrator(s): Martin Mushkin
Hearing Site: New York, NY
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| 09-02470 | 11/04/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Kurt Wallen
Respondent Lawyers(s): Kurt David Wallen
Arbitrator(s): Jonathan H. Stein
Hearing Site: Tampa, FL
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| 09-02872 | 11/04/2009 | Claimant(s): Newbridge Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Brian Steed
Respondent Lawyers(s): Brian C. Steed
Arbitrator(s): Michael S. Hill
Hearing Site: Boca Raton, FL
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| 07-02366 | 11/02/2009 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Michael H. Gibson
Respondent(s): Timothy Flick, Fulcrum Securities.
Respondent Lawyers(s): Matthew S. Hardin
Arbitrator(s): Michael J. Kelley, Paul Lansing, Richard Kammen
Hearing Site: Indianapolis, IN
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| 09-02714 | 11/02/2009 | Claimant(s): Paul Strickland
Claimant Lawyers(s): Paul Strickland
Respondent(s): Crusader Securities
Respondent Lawyers(s): Blair A. West
Arbitrator(s): Mary L. Williams
Hearing Site: Honolulu, HI
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| 09-03049 | 11/02/2009 | Claimant(s): Edward Jones
Claimant Lawyers(s): Paul Yarns
Respondent(s): Treavor Mosbaugh
Respondent Lawyers(s): Treavor James Mosbaugh
Arbitrator(s): Burton M. Fendelman
Hearing Site: New York, NY
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| 07-01310 | 10/30/2009 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Michael H. Gibson
Respondent(s): Greg Cox, Michael Frontino, Phillip Morgan
Respondent Lawyers(s): Christopher S. Smith
Arbitrator(s): W. Sean Kelleher, Wayne J. Thaemert, Harry Carl Taylor
Hearing Site: Charleston, WV
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| 09-00366 | 10/30/2009 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Timothy Cox
Respondent Lawyers(s): Timothy Joseph Cox
Arbitrator(s): Donald J. Rasweiler, Sherri L. Hughes, Paul Giappone
Hearing Site: New York, NY
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| 09-00658 | 10/30/2009 | Claimant(s): Charles Gilbride, Dean Myerow, Norman Wetmore
Claimant Lawyers(s): Sarah L. Allgeier
Respondent(s): Arkansas Affordable Housing Partners
Respondent Lawyers(s): Kirk G. Smith
Arbitrator(s): David W. Stanton, Walter W. Kocher, Erwin John Dugasz
Hearing Site: Columbus, OH
| | Expungement |
