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
| | |
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
| | |
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
| | |
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
| | |
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
| | |
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
| | |
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
| | |
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
| | |