05-01538 | 08/07/2008 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Mark L. Kowalsky Respondent(s): Kenneth Cecil Respondent Lawyers(s): Jon D. Cohen Arbitrator(s): Fay Clayton, Daniel Baruch Lidawer, Kathleen Hoey Gorr Hearing Site: Chicago, IL
| | |
07-03566 | 08/07/2008 | Claimant(s): Paul Burns Claimant Lawyers(s): Paul Raymond Burns Respondent(s): Lincoln Financial Advisors Respondent Lawyers(s): Jonathan J. Myers Arbitrator(s): Samuel L. McClaren Hearing Site: Phoenix, AZ
| | |
08-00135 | 08/06/2008 | Claimant(s): National Securities Corporation Claimant Lawyers(s): Michael S. Colombo Respondent(s): Ronald Cole Respondent Lawyers(s): Ronald Stillman Cole Arbitrator(s): Leonard M. Bakal Hearing Site: New York, NY
| | |
07-01487 | 08/04/2008 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Ronald P. Kane Respondent(s): Arthur Castro Respondent Lawyers(s): David L. Casterline Arbitrator(s): Bert Levy, Basil Lewis, Susan B. Gans-Smith Hearing Site: Los Angeles, CA
| | |
07-03040 | 08/04/2008 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): D. Daxton White Respondent(s): Steven Owens Respondent Lawyers(s): Gene D. Lipscher Arbitrator(s): S. William Gersten Hearing Site: Boca Raton, FL
| | |
07-03299 | 08/04/2008 | Claimant(s): Michael Ice Claimant Lawyers(s): William J. Foster Respondent(s): Dresdner Kleinwort Securities Respondent Lawyers(s): Lauren Malanga Casey Arbitrator(s): Mark S. Brody, Hilary B. Miller, Robert S. Getman Hearing Site: New York, NY
| | |
06-05408 | 07/31/2008 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Andy James Respondent Lawyers(s): Armand Salese Arbitrator(s): Richard B. Bequette, George N. Roy, Allan D. Breyer Hearing Site: Phoenix, AZ
| | |
07-00446 | 07/31/2008 | Claimant(s): Brent Cowin, Rock Mirich Claimant Lawyers(s): Marie Mirch Respondent(s): David Winchell, Jeffrey Graves, Julie Castle, Keith Schmidt, Lisa Dry, Mary With, Matthew Howard, Banc of America Investment Services Inc., Pat Jagielski, William Tanem, Bank of America Respondent Lawyers(s): Bryce K. Kunimoto Arbitrator(s): David W. Dresnick, Geoffrey A. VanderPal, Paul E. Dahlman Hearing Site: Las Vegas, NV
| | |
07-02816 | 07/31/2008 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Joseph E. Gehring Respondent(s): UBS Financial Services Inc., Michael Fisher Respondent Lawyers(s): James L. Komie Arbitrator(s): Edward Baer, Carol E. Weir, John N. Polakas Hearing Site: New York, NY
| | |
07-01778 | 07/28/2008 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings. Claimant Lawyers(s): W. Jerad Rissler Respondent(s): Ernest Elam Respondent Lawyers(s): Ernest P. Elam Arbitrator(s): Timothy L. Andrews, Maurice J. Fallas, Gary L. Foose Hearing Site: Houston, TX
| | |