| 08-00112 | 10/31/2008 | Claimant(s): Brandon Henry
Claimant Lawyers(s): Mark J. Appleton
Respondent(s): Cascade Financial Management.
Respondent Lawyers(s): Vance O. Knapp
Arbitrator(s): Judith Ferris Witthohn, Charles A. Newton, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
| | |
| 08-01376 | 10/31/2008 | Claimant(s): Gwen Snorteland
Claimant Lawyers(s): Howard I. Elman
Respondent(s): Mizuho Securities USA Inc.
Respondent Lawyers(s): Ronald E. Richman
Arbitrator(s): Arnold L. Goren, Peter P. Skomorowsky, Arthur H. Sobel
Hearing Site: New York, NY
| | |
| 07-01322 | 10/30/2008 | Claimant(s): Jack Moreland
Claimant Lawyers(s): Jeffrey S. Kruske
Respondent(s): Perkins, Smart and Boyd.
Respondent Lawyers(s): Edward A. McConwell
Arbitrator(s): Melford V. McCormick, Donald B. Clark, James R. Shetlar
Hearing Site: Kansas City, MO
| | |
| 07-02792 | 10/30/2008 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Marion J. Vomhof
Respondent(s): Stephen Brown
Respondent Lawyers(s): Robert S. Banks
Arbitrator(s): Gregory L. Abbott, Grant E. Griffith, Michael G. Hanlon
Hearing Site: Portland, OR
| | |
| 07-02711 | 10/29/2008 | Claimant(s): Frederick Arnold
Claimant Lawyers(s): Frederick Jay Arnold
Respondent(s): Donald Siok, John Carney
Respondent Lawyers(s): Donald Drew Siok, John Anthony Carney
Arbitrator(s): Mary Ann M. Melchiorre
Hearing Site: Philadelphia, PA
| | |
| 08-00145 | 10/29/2008 | Claimant(s): PNC Investments Inc.
Claimant Lawyers(s): Elizabeth M. Hill
Respondent(s): Andrea Sawchuk
Respondent Lawyers(s): Brian K. Wiley
Arbitrator(s): Alan M. Schankel, Carol H. Gold, Fred W. Miller
Hearing Site: Philadelphia, PA
| | |
| 08-01472 | 10/29/2008 | Claimant(s): Citigroup Global Markets., Citigroup Golbal Markets Holdings.
Claimant Lawyers(s): Jennifer Blunt
Respondent(s): Carlos Shibata
Respondent Lawyers(s): Carlos A. Shibata
Arbitrator(s): Daniel H. Yaffe, Laura Jeanette Cognetti, Doug Campbell
Hearing Site: Miami, FL
| | |
| 07-02690 | 10/24/2008 | Claimant(s): Kayvan Karoon
Claimant Lawyers(s): George Brunelle
Respondent(s): First Montauk Securities Corp.
Respondent Lawyers(s): Robert I. Rabinowitz
Arbitrator(s): David L. Becker, Philip W Gaffney, Richard V. Adams
Hearing Site: Newark, NJ
| | |
| 06-04719 | 10/23/2008 | Claimant(s): Robert Grimm, William Featherston
Claimant Lawyers(s): Robert H. Grimm
Respondent(s): CBA Securities LLC
Respondent Lawyers(s): Joseph Nocella
Arbitrator(s): John Thomas Shaban
Hearing Site: Hartford, CT
| | |
| 07-03593 | 10/23/2008 | Claimant(s): Thomas Holmes
Claimant Lawyers(s): Kevin Thomas Hoffman
Respondent(s): Susquehanna Financial Group, LLLP
Respondent Lawyers(s): Andrew C. Curley
Arbitrator(s): Philip S. Cottone, Sean M. Sweeney, L. Martin Miller
Hearing Site: Philadelphia, PA
| | |
