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 |