| 08-02433 | 07/31/2009 | Claimant(s): Bevery Hills Bank & Trust Company, Wayne Hummer Investments LLC
Claimant Lawyers(s): Melvin G. Moseley
Respondent(s): Daniel Hack, Citigroup Global Markets., Mary Anderson, Marybeth Oconnor, Michelle Hughes, Patricia Marsh, Phillip Burno, Tracy Polselli
Respondent Lawyers(s): Tiffany C. Woodie
Arbitrator(s): Richard G Clemens, Joy Pava Shulruff, Rody P. Biggert
Hearing Site: Chicago, IL
| | Expungement |
| 08-03853 | 07/31/2009 | Claimant(s): Bernard Cohen
Claimant Lawyers(s): David J. Butler
Respondent(s): Estate of Joseph Moreno
Respondent Lawyers(s): Jay Moreno
Arbitrator(s): Linda T. Pellegrino, Nicholas J. Chopey, Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | Expungement |
| 08-04188 | 07/31/2009 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Carlos Martinez
Respondent Lawyers(s): Carlos Alberto Martinez
Arbitrator(s): Cheryl Feldman, Martin H. Zern, Adelfa Ann Lugo
Hearing Site: New York, NY
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| 06-03828 | 07/27/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Eric Boory, Eric Stevens, Gerald Grossman, Morgan Stanley DW Inc., Scott Lerner, Stanley Lerner
Respondent Lawyers(s): John Greco, Philip J. Campisi
Arbitrator(s): Sheldon Seligsohn, Glenn J. Hansen, Susan Mills Richmond
Hearing Site: Philadelphia, PA
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| 07-02537 | 07/27/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Frederick Kelleher
Respondent Lawyers(s): Lawrence Duffy
Arbitrator(s): Linda M. Granata, Robert H. Loevin, James A. Collins
Hearing Site: Boca Raton, FL
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| 08-00826 | 07/27/2009 | Claimant(s): Deborah Pederson
Claimant Lawyers(s): William J. Egan
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Melissa Raphan
Arbitrator(s): Joyce G. Gordon, Arthur Richard Tow, Brett W. Olander
Hearing Site: Minneapolis, MN
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| 08-03509 | 07/27/2009 | Claimant(s): Ronald Morrone
Claimant Lawyers(s): Dan A. Druz
Respondent(s): IFMG Securities.L Financial Corporation, Sun Life Financial Distributors.
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Daniel J. McCarthy, Abraham Harry Bunis, Thomas A. Abitabile
Hearing Site: Newark, NJ
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| 09-00887 | 07/24/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Callahan
Respondent Lawyers(s): William Patrick Callahan
Arbitrator(s): C. Gregory Ellison
Hearing Site: Washington, DC
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| 08-00200 | 07/23/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Crystal Masset, Steve Russell, Timothy Hartman
Respondent Lawyers(s): Diane C. Fischer, Mark H. Gunderson
Arbitrator(s): Helen Marinak Blohm, Jeffrey M. Allen, Edward J. Harkins
Hearing Site: Reno, NV
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| 03-03485 | 07/22/2009 | Claimant(s): Fahnestock & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Lisa Delphin Rep. to James Delfin Estate
Respondent Lawyers(s): Michael Halpern
Arbitrator(s): Robert H. Hagan, David W. Haynes, Karen Z. Fischer
Hearing Site: Boca Raton, FL
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