| 07-01890 | 09/02/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Minervini
Respondent Lawyers(s): Roger Hennagin
Arbitrator(s): Robert E.L. Bonaparte, James John Jurinski, John Edward Bersin
Hearing Site: Portland, OR
| | |
| 08-02919 | 09/01/2009 | Claimant(s): William Gurney
Claimant Lawyers(s): William H. Gurney
Respondent(s): Robert Lewis, Lewis Management Corporation
Respondent Lawyers(s): George V.C. Muscato
Arbitrator(s): David Buch, Vincent Micciche, Karin A. Schlosser
Hearing Site: Buffalo, NY
| | Expungement |
| 09-00074 | 09/01/2009 | Claimant(s): Summit Brokerage Services.
Claimant Lawyers(s): Gary Menzer
Respondent(s): Gregory Kinkead
Respondent Lawyers(s): John R. McMillan
Arbitrator(s): Barry A. Mainardi
Hearing Site: Las Vegas, NV
| | |
| 09-00159 | 09/01/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Rocco Licalsi
Respondent Lawyers(s): James N. Barletti
Arbitrator(s): Nathan J. Minucci
Hearing Site: Newark, NJ
| | |
| 09-00637 | 09/01/2009 | Claimant(s): Rhonda Redman
Claimant Lawyers(s): Rhonda Redman
Respondent(s): Kirk Daniels
Respondent Lawyers(s): Kirk J. Daniels
Arbitrator(s): Charles A. Ferris
Hearing Site: Indianapolis, IN
| | |
| 08-03574 | 08/31/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Thomas Heinz Teltscher
Respondent Lawyers(s): Thomas K. Heinz Teltscher
Arbitrator(s): Robert D. Sussin, Gerald C. Tambe, William J. Adams
Hearing Site: Los Angeles, CA
| | |
| 07-03149 | 08/28/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Robert L. Tobey
Respondent(s): Andrew Williams
Respondent Lawyers(s): Andrew F. Williams
Arbitrator(s): Mark I Preston, John M. Wilkinson, Carleton E. Blankenburg
Hearing Site: Dallas, TX
| | |
| 08-00450 | 08/28/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Robert Lobel
Respondent Lawyers(s): David R. Hagen
Arbitrator(s): Philip W. Burge, Blaine Smith, Christine A. Page
Hearing Site: Los Angeles, CA
| | |
| 08-02509 | 08/28/2009 | Claimant(s): Terrance Solomone
Claimant Lawyers(s): Jonathan R. Sack
Respondent(s): IDX Capital, IDX Derivatives
Respondent Lawyers(s): Jeffrey A. Udell
Arbitrator(s): Larry A. Kimmel, Burton M. Fendelman, Michael J. Contrastano
Hearing Site: New York, NY
| | |
| 07-00870 | 08/26/2009 | Claimant(s): Clark Dodge & Co..
Claimant Lawyers(s): Daniel Branower
Respondent(s): Richard Sonkin
Respondent Lawyers(s): Mark J. Astarita
Arbitrator(s): David N. Brainin, Michael G. Shannon, William G. Binckes
Hearing Site: New York, NY
| | |
