08-01302 | 04/28/2009 | Claimant(s): American Capital Partners Claimant Lawyers(s): J. Christopher Albanese Respondent(s): Jaime Rodriguez Respondent Lawyers(s): Jaime Rodriguez Arbitrator(s): Berton Seltzberg Hearing Site: New York, NY
| | |
08-03686 | 04/28/2009 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Raquel Terrigno Respondent(s): Caroline Mellema Respondent Lawyers(s): David A. Weintraub Arbitrator(s): Lanny M. Leff Hearing Site: Ft. Lauderdale, FL
| | |
07-03484 | 04/27/2009 | Claimant(s): Bear, Stearns & Co. LLC Claimant Lawyers(s): Gene L. Small Respondent(s): UBS Securities LLC Respondent Lawyers(s): Alain Leibman Arbitrator(s): Richard D. Chusid, Kinchen C. Bizzell, Farrell C. Glasser Hearing Site: New York, NY
| | |
08-00463 | 04/27/2009 | Claimant(s): Stifel, Nicolaus & Company. Claimant Lawyers(s): Christie A. Moore Respondent(s): Thomas Polston Respondent Lawyers(s): Bruce D. Atherton Arbitrator(s): Patrick J. Burley, David T. Maddux, Anthony Ray Harris Hearing Site: Louisville, KY
| | |
08-01842 | 04/27/2009 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Will Stute Respondent(s): Juliet Kiwanuka Respondent Lawyers(s): Juliet Ann Kiwanuka Arbitrator(s): Stephen C. Thayer, George F. Longino, Jill M. Zacha Hearing Site: Dallas, TX
| | |
06-04482 | 04/24/2009 | Claimant(s): William Scott Claimant Lawyers(s): David Burton Brady Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Claidia M. Cohen Arbitrator(s): John B. Ryan, John J. Bucko, Robert J. Bender Hearing Site: Newark, NJ
| | |
08-01621 | 04/24/2009 | Claimant(s): Richard Soucy Claimant Lawyers(s): Richard K Soucy Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Julie C. Webb Arbitrator(s): Eugene Tenenbaum, Elizabeth K. Norsworthy, Philip S. Wellman Hearing Site: Manchester, NH
| | |
08-03221 | 04/24/2009 | Claimant(s): Song Sop Choe Claimant Lawyers(s): Song Sop Choe Respondent(s): Fordham Financial Management. Respondent Lawyers(s): Christopher S. Mattei Arbitrator(s): Marilyn J. Salzman, Alice J. P. Lee-Getman, Arthur Best Hearing Site: New York, NY
| | |
08-01230 | 04/23/2009 | Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Martin Gerek Respondent Lawyers(s): Martin Gerek Arbitrator(s): Charles W. Herf, Marvin J. Klein, Gary L. Freeman Hearing Site: Las Vegas, NV
| | |
08-02116 | 04/23/2009 | Claimant(s): Edward Schiavi Claimant Lawyers(s): Clinton W. Marrs Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Michael J. Fortunato Arbitrator(s): Patrick J. Halter, Kenneth R. Johnston, Richard D. Fincher Hearing Site: Albuquerque, NM
| | |