05-04554 | 03/24/2008 | Claimant(s): David McCoy, GunnAllen Holdings. Claimant Lawyers(s): Richard A. Roth, William J. Schifino Respondent(s): Bradley Fay, Donald Gunn, Richard Frueh, Richard Nummi, Gunnallen Financial., McCoy Rep Services. Respondent Lawyers(s): Richard A. Roth, Robert W. Boos, William J. Schifino Arbitrator(s): John Steve Azadian, William E. Nodine, Kenneth R. Starr Hearing Site: Tampa, FL
| | |
07-01620 | 03/24/2008 | Claimant(s): Almax Investments LLC Claimant Lawyers(s): Stephen P. Bedell Respondent(s): Michael Moore, Sarah Moore, EROOM Securities LLC Respondent Lawyers(s): Jennifer Zordani Arbitrator(s): G. Gale Roberson, Mark E. Larson, James Michael Bailey Hearing Site: Chicago, IL
| | |
07-01269 | 03/20/2008 | Claimant(s): Daniel Morris Claimant Lawyers(s): Steven B. Caruso Respondent(s): Jeff Margolis, Aurora Capital LLC Respondent Lawyers(s): G. Robert Abrams, Jeff Eliot Margolis Arbitrator(s): Richard L. Herzfeld, Evdokia Sofos, Jonathan P. Russell Hearing Site: New York, NY
| | |
07-01726 | 03/20/2008 | Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): D. Daxton White Respondent(s): Charles Monahan Respondent Lawyers(s): Charles M. Monahan Arbitrator(s): Linda Fairchild, Paul Lilling, Christopher Mark Aiello Hearing Site: Orlando, FL
| | |
07-02087 | 03/20/2008 | Claimant(s): Janney Montgomery Scott LLC Claimant Lawyers(s): Carrie L. Chelko Respondent(s): Jonathan Barkman Respondent Lawyers(s): Jonathan Wayne Barkman Arbitrator(s): Allen B. Lang, Robert W. Ratti, Antonio Albano Hearing Site: Philadelphia, PA
| | |
07-02274 | 03/20/2008 | Claimant(s): James Valentine Claimant Lawyers(s): Sylvia M. Scott Respondent(s): James Lundy, Jeffrey Jones, Karen Brandenburg, Matthew Boutte, Peter Carr, Sharon Boutte, The Kenneth Lynn Boutte Family Trust Respondent Lawyers(s): D. Elizabeth Wills, James L. Lundy, Jeffrey F. Jones, Karen A. Brandenburg, Peter J. Carr Arbitrator(s): Richard J. Stall, Kirtley M. Thiesmeyer, Russell T. Doe Hearing Site: Los Angeles, CA
| | Expungement |
07-02304 | 03/20/2008 | Claimant(s): RBC Capital Markets Corporation Claimant Lawyers(s): David H.S. Commins Respondent(s): Gregory Iglow Respondent Lawyers(s): Gregory J. Sherwin Arbitrator(s): Christine A. Page, Cynthia Ann Higgins, Christopher J. Rogers Hearing Site: Los Angeles, CA
| | |
04-01248 | 03/19/2008 | Claimant(s): Piper Jaffray & Co. Claimant Lawyers(s): Elizabeth H. Lindh Respondent(s): Alan Fishman Respondent Lawyers(s): R. Craig Zafis Arbitrator(s): James J. Dobbin, Harris J. Howard, Robert Jay Filderman Hearing Site: San Diego, CA
| | |
04-05610 | 03/19/2008 | Claimant(s): Burlington Capital Markets. Claimant Lawyers(s): Richard A. Roth Respondent(s): Paul Basile, GFI Securities Respondent Lawyers(s): Lauri F. Rasnick Arbitrator(s): Thomas Caiaffa, Selma Moy, Sharon A. McCloskey Hearing Site: New York, NY
| | |
08-00615 | 03/19/2008 | Claimant(s): Tranqulino Ventura, Hartford Fire Insurance Co.. Claimant Lawyers(s): Richard E. Smith, Robert R. Hembree Respondent(s): Robert Decker Respondent Lawyers(s): Jason R. Ross Arbitrator(s): Joy L. Aldridge, Ronald Griffith Wilkins Hearing Site: Birmingham, AL
| | Expungement |