| 09-04962 | 04/04/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Paul Erenfeld
Respondent Lawyers(s): David Sacks
Arbitrator(s): Jeanne C. Stilwell, Joseph W. Cheek, Dean K. Morell
Hearing Site: Portland, OR
| | |
| 10-03967 | 04/04/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Gregory Januleski
Respondent Lawyers(s): Gregory John Januleski
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Cincinnati, OH
| | |
| 10-05372 | 04/04/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): Robert O'Herlihy
Respondent Lawyers(s): Robert O'Herlihy
Arbitrator(s): Jack Friedman
Hearing Site: Newark, NJ
| | |
| 10-01448 | 04/01/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): David Lynn
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): William L. Merkin, Jo-Ann C. Little, Katherine Jane Morris
Hearing Site: San Diego, CA
| | |
| 10-00989 | 03/30/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): Mark Fowler
Respondent Lawyers(s): Mark W. Fowler
Arbitrator(s): George A. Sellnau
Hearing Site: Dallas, TX
| | |
| 10-02387 | 03/30/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Bradley Gardner
Respondent Lawyers(s): Matthew B. Baum
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 10-03595 | 03/30/2011 | Claimant(s): Kovack Securities Inc.
Claimant Lawyers(s): Brian Kovack
Respondent(s): Marco Caporale
Respondent Lawyers(s): Marco A. Caporale
Arbitrator(s): James D. Keeney
Hearing Site: Tampa, FL
| | |
| 10-02985 | 03/29/2011 | Claimant(s): Mathias Hawkins
Claimant Lawyers(s): Mathias John Hawkins
Respondent(s): Toussaint Capital Partners
Respondent Lawyers(s): Robert I. Rabinowitz
Arbitrator(s): Eva H. Posman, Jonathan R. Morris, Marianne C. Hussey
Hearing Site: New York, NY
| | |
| 10-03028 | 03/29/2011 | Claimant(s): Ellis Liddell
Claimant Lawyers(s): Ellis Nurogar Liddell
Respondent(s): Margaret Griffith
Respondent Lawyers(s): Margaret Griffith
Arbitrator(s): Jay B. MacKenzie, William P. Thorpe, Earlene R. Baggett-Hayes
Hearing Site: Detroit, MI
| | Expungement |
| 10-04558 | 03/29/2011 | Claimant(s): Lisa Detanna
Claimant Lawyers(s): Scott E Rahn
Respondent(s): Doreen Levine
Respondent Lawyers(s): Doreen Levine
Arbitrator(s): Elizabeth A. Copley
Hearing Site: Los Angeles, CA
| | Expungement |
