| 08-00640 | 09/14/2009 | Claimant(s): Carol Dahl, Citicorp Investment Services/ Citigroup
Claimant Lawyers(s): David Butler
Respondent(s): Michael Miley
Respondent Lawyers(s): Ronald P. Labeck
Arbitrator(s): Zuhayr A. Moghrabi, Adelfa Ann Lugo, Jonathan P. Russell
Hearing Site: New York, NY
| | Expungement |
| 08-03113 | 09/14/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Jason Roberts
Respondent Lawyers(s): Jason J. Roberts
Arbitrator(s): Douglas E. DeTata, John Edward Bersin, Charles Eugene Markley
Hearing Site: San Francisco, CA
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| 09-01953 | 09/14/2009 | Claimant(s): Summit Brokerage Services.
Claimant Lawyers(s): Michael Lang
Respondent(s): Brad Nussbaum
Respondent Lawyers(s): Brad N. Nussbaum
Arbitrator(s): Marvin Schleyer
Hearing Site: Newark, NJ
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| 08-01238 | 09/11/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): D. Daxton White
Respondent(s): James Fournace
Respondent Lawyers(s): James A. Fournace
Arbitrator(s): John R Kiefner, Mimi B. Osiason, William Hugh Nenninger
Hearing Site: Tampa, FL
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| 09-01377 | 09/09/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Hayato Tamura
Respondent Lawyers(s): Hayato Tamura
Arbitrator(s): David Edward Canter
Hearing Site: Los Angeles, CA
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| 08-00727 | 09/04/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Randy Koontz
Respondent Lawyers(s): Kenneth R. Shemin
Arbitrator(s): Paul Mann, M. Eileen Dorsey, Ronald R. Wilhelm
Hearing Site: Little Rock, AR
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| 07-03541 | 09/03/2009 | Claimant(s): Agile Investments.
Claimant Lawyers(s): David E. Robbins
Respondent(s): D & D Securities., Solaris Alternative Capital Partners
Respondent Lawyers(s): Jeffrey Rosen, Paula D. Shaffner
Arbitrator(s): Mary Ann M. Melchiorre, Stephen T. Mayhew, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
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| 08-00158 | 09/03/2009 | Claimant(s): Nilmaris Cardona
Claimant Lawyers(s): Paul Vilaro Nelms
Respondent(s): David Lugo Sanchez, UBS Financial Services Incorporated of P
Respondent Lawyers(s): Carlos Bobonis-Gonzalez
Arbitrator(s): Robert H. Putnam, Alan B. Goldstein, Edward Arthur Horton
Hearing Site: San Juan, PR
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| 09-01915 | 09/03/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Wilfredo Colon
Respondent Lawyers(s): Wilfredo Colon
Arbitrator(s): Daniel H. Yaffe
Hearing Site: Miami, FL
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| 07-01200 | 09/02/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Wade Contney
Respondent Lawyers(s): Wade Contney
Arbitrator(s): Paul G. Cuomo, John Joseph Cotter, James J. Gadarowski
Hearing Site: Providence, RI
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