| 10-04311 | 04/19/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Joseph Morrissey
Respondent Lawyers(s): Joseph Thomas Morrissey
Arbitrator(s): Howard S. Quinn
Hearing Site: New York, NY
| | |
| 10-04685 | 04/19/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Sherry DeGenaro
Respondent Lawyers(s): Sherry DeGenaro
Arbitrator(s): David I. Goldblatt
Hearing Site: Newark, NJ
| | |
| 10-04969 | 04/19/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Jessica Winczner
Respondent Lawyers(s): Jessica T. Winczner
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | |
| 10-01016 | 04/18/2011 | Claimant(s): Richard Turnbull
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Michael Ross, Peter P. Skomorowsky, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 10-04911 | 04/18/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Daniel Crotta
Respondent Lawyers(s): Daniel William Crotta
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | |
| 09-02587 | 04/15/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Michael Angel
Respondent Lawyers(s): Michael Angel
Arbitrator(s): Thomas W. Borden, Paul D. Allen, James D. Murray
Hearing Site: San Francisco, CA
| | |
| 09-03430 | 04/15/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Patrick Murray
Respondent Lawyers(s): W. Patrick Murray
Arbitrator(s): Jeffrey M. Bain, Truman M. Hogan, Frank C. Fogl
Hearing Site: Cleveland, OH
| | |
| 09-06430 | 04/15/2011 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Larry J. Lipka
Respondent(s): Joseph Jackson
Respondent Lawyers(s): Joseph A. Jackson
Arbitrator(s): Richard Charles Hotvedt
Hearing Site: Tampa, FL
| | |
| 10-00327 | 04/15/2011 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Jaime Baumler
Respondent Lawyers(s): David K. Silverberg
Arbitrator(s): Howard B. Cohen
Hearing Site: Buffalo, NY
| | |
| 10-01475 | 04/15/2011 | Claimant(s): H. Drobenaire, Luis Alvira
Claimant Lawyers(s): Dave L. Neville
Respondent(s): Henry Carter, Jason Blum, Iron Capital Securities
Respondent Lawyers(s): Robert T. Sullwold
Arbitrator(s): Robin Lynn Berry, Edwin C. Shiver, Mario Singleton
Hearing Site: San Francisco, CA
| | |
