08-03446 | 08/10/2009 | Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Michael Desfor Respondent Lawyers(s): Michael Eric Desfor Arbitrator(s): Edward T. Borer, Walter J. Schwenk, James T. McLaughlin Hearing Site: Philadelphia, PA
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09-00131 | 08/10/2009 | Claimant(s): BBVA Securities of Puerto Rico. Claimant Lawyers(s): Sonia Marbarak Respondent(s): Frank Rivera Respondent Lawyers(s): Frank R. Rivera Arbitrator(s): Raymond W. Snow Hearing Site: San Juan, PR
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08-02357 | 08/07/2009 | Claimant(s): ABS Brokerage Services, Iseroute, Llc, Pro Securities, L.L.C. Claimant Lawyers(s): Carl M. Greenfeld Respondent(s): Penson Financial Services. Respondent Lawyers(s): Mark G. Hanchet Arbitrator(s): Donald J. Rasweiler, Arthur P. Fisch, Douglas F. Stone Hearing Site: New York, NY
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08-04913 | 08/06/2009 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Matthew B. Henneman Respondent(s): Robert Slowik Respondent Lawyers(s): Robert J. Slowik Arbitrator(s): Richard C. Moenning, A. Brad Busscher, Jack L. Karp Hearing Site: Chicago, IL
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07-03516 | 08/05/2009 | Claimant(s): Joseph Petrone Claimant Lawyers(s): Linda M. Deola Respondent(s): Investacorp., Ladenburg Thalmann Financial Services LL Respondent Lawyers(s): Mark J. Astarita, Michael J. Astarita Arbitrator(s): Kip C. Lubcke, John R. Pepe, Linda J. Baer Hearing Site: Newark, NJ
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09-00888 | 08/04/2009 | Claimant(s): First Allied Securities. Claimant Lawyers(s): Marion J. Vomhof Respondent(s): Anthony Troia Respondent Lawyers(s): Anthony Charles Troia Arbitrator(s): Eric J. Sussman Hearing Site: New York, NY
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08-03550 | 08/03/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Monica M. Mintz Respondent(s): Donald Glover Respondent Lawyers(s): Donald Lee Glover Arbitrator(s): Perry Lee Taylor, Daniel H. Kolber, Kenneth I. Daniels Hearing Site: Atlanta, GA
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09-00271 | 08/03/2009 | Claimant(s): Donna Lail Claimant Lawyers(s): Donna Lail Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Cathy Gress Springer Arbitrator(s): Bruce Jones Hearing Site: Indianapolis, IN
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07-01543 | 07/31/2009 | Claimant(s): Eugene Marquardt Claimant Lawyers(s): David W. Neel Respondent(s): Brian Brennan, John Schlifer, Patricia Wyant, KeyBanc Capital Markets., KeyCorp Respondent Lawyers(s): Jeffrey S. Dunlap Arbitrator(s): James Dale Ellis, Robert M. Shwab, John C. Aten Hearing Site: Cleveland, OH
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08-01524 | 07/31/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Thomas G. Stack Respondent(s): Jeffrey Boettcher Respondent Lawyers(s): Mark Chester Arbitrator(s): Katherine M. Harmeyer, Douglas E. McArthur, Allan D. Breyer Hearing Site: Phoenix, AZ
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