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
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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
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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
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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
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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
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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
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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
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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
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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 |