| 07-00344 | 09/25/2007 | Claimant(s): Cherie Stokes
Claimant Lawyers(s): Cherie A. Stokes
Respondent(s): Howe Barnes Hoefer & Arnett.
Respondent Lawyers(s): Matthew C. Boba
Arbitrator(s): Paul D. Gutierrez
Hearing Site: San Francisco, CA
| | |
| 07-00462 | 09/25/2007 | Claimant(s): Jed Kaplan
Claimant Lawyers(s): Stephen A. Mendelsohn
Respondent(s): Helene Futterman, Barbara Feinberg IRA, Helene Futterman Roth IRA, Leonard Feinberg IRA, Leonard Feinberg Trust
Respondent Lawyers(s): Barbara Feinberg, Helene Futterman, Leonard Feinberg
Arbitrator(s): James J. Fishman, Robert E. Holley, Joan Ilivicky
Hearing Site: New York, NY
| | Expungement |
| 07-01257 | 09/21/2007 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Carrie L Chelko
Respondent(s): Thomas Taylor
Respondent Lawyers(s): Thomas Howard Taylor
Arbitrator(s): John Joseph Cotter
Hearing Site: Providence, RI
| | |
| 07-01436 | 09/20/2007 | Claimant(s): McGinn Smith & Co..
Claimant Lawyers(s): Joseph B. Carr
Respondent(s): Derek Paulsen, Seth Stone
Respondent Lawyers(s): Derek Douglas Paulsen, Seth Michael Stone
Arbitrator(s): Frank Irizarry
Hearing Site: Albany, NY
| | |
| 07-01622 | 09/20/2007 | Claimant(s): IFMG Securities., IFS AGencies., Independent Financial Marketing Group
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Michael Woodman
Respondent Lawyers(s): Gary C. Crossen
Arbitrator(s): Charles A. Goglia, Robert V. Deiana, Laura M. Nelson
Hearing Site: Boston, MA
| | |
| 05-00087 | 09/17/2007 | Claimant(s): L.H. Ross & Company.
Claimant Lawyers(s): Steven J. Shore
Respondent(s): Davis Lawrence, Donnell Allen, Gregory Fils-Aime, James Carr, James Pecoraro, Jay Capodiferro, Jeffrey Bello, Kendell James, Michael Joaquin, Nigel James, Safdar Mursalin, Samuel Roslow
Respondent Lawyers(s): Brett D. Zinner, Davis S. Lawrence, Donnell Allen, Gregory Fils-Aime, James J. Carr, James R. Pecoraro, Jeffrey R. Bello, Kendell James, Michael E. Joaquin, Nigel James, Safdar Mursalin, Samuel A. Roslow
Arbitrator(s): Daniel B. Berkson, Michael J. McAllister, Anthony George Gero
Hearing Site: New York, NY
| | |
| 06-02201 | 09/14/2007 | Claimant(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Patricia Sons Biswanger
Respondent(s): James Montalto, James Weil
Respondent Lawyers(s): Elise Schwarz
Arbitrator(s): Nancy Plesser Wendell, Michael Todd Clements, Robert W. Kenter
Hearing Site: New York, NY
| | |
| 06-02499 | 09/14/2007 | Claimant(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Patricia Sons Biswanger
Respondent(s): James Montalto
Respondent Lawyers(s): Elise Schwarz
Arbitrator(s):
Hearing Site: New York, NY
| | |
| 02-05541 | 09/13/2007 | Claimant(s): Gary Chan
Claimant Lawyers(s): G. Sterling Perry
Respondent(s): Traderfield Securities., Unise Investment Corp.
Respondent Lawyers(s): Christine Bae, G. Sterling Perry
Arbitrator(s): Simon S. Kogan, Barnard Seligman, John E. Shine
Hearing Site: New York, NY
| | |
| 06-03969 | 09/13/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jennifer Burke
Respondent(s): Renee Isely, Robert Tobin
Respondent Lawyers(s): Mark P. Carey
Arbitrator(s): William Henry Joseph, David R. Bolnick
Hearing Site: New York, NY
| | |
