09-00175 | 11/01/2010 | Claimant(s): James Fellus Claimant Lawyers(s): Jonathan Sack Respondent(s): Sterne, Agee & Leach. Respondent Lawyers(s): Latanishia D. Watters Arbitrator(s): James Francis Donovan, Todd Edward Phillips, J. Wesley Romine Hearing Site: Birmingham, AL
| | |
09-07175 | 11/01/2010 | Claimant(s): Sagepoint Financial. Claimant Lawyers(s): Howard R. Elisofon Respondent(s): Kathleen Camarda, Vincent Camarda Respondent Lawyers(s): Martin Kaplan Arbitrator(s): Eric P. Nachman, Richard Weinberger, Stephen J. Patti Hearing Site: New York, NY
| | |
09-01389 | 10/29/2010 | Claimant(s): Olav Refvik Claimant Lawyers(s): Jeffrey L. Liddle Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Jennifer Barrett Arbitrator(s): Daniel B. Berkson, Kenneth M. Felder, Howard Breindel Hearing Site: New York, NY
| | |
09-01515 | 10/29/2010 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Diane C. Fischer Respondent(s): Tracy Wildeman Respondent Lawyers(s): Tracy Allen Wildeman Arbitrator(s): Victor B. Taube, Ronald K. Sprague, James W. Warren Hearing Site: Phoenix, AZ
| | |
09-07259 | 10/29/2010 | Claimant(s): Janney Montgomery Scott LLC Claimant Lawyers(s): Michael D. Jones Respondent(s): Daniel Petit Respondent Lawyers(s): Daniel A. Petit Arbitrator(s): Steven P. Gregory Hearing Site: Atlanta, GA
| | |
10-00429 | 10/29/2010 | Claimant(s): Estate of Steven Harris Claimant Lawyers(s): Michael J. Sullivan Respondent(s): J. B. Hanauer & Co., RBC Capital Markets LLC Respondent Lawyers(s): Denis C. Dice Arbitrator(s): Edith M. Novack, Douglas S. Abel, Roland E. Wyatt Hearing Site: Newark, NJ
| | |
10-02707 | 10/29/2010 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Edward C Nowak Respondent(s): Junius Beaver Respondent Lawyers(s): Junius Verne Beaver Arbitrator(s): Kevin R. McDermott Hearing Site: Louisville, KY
| | |
08-01269 | 10/28/2010 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Eric Lansverk Respondent(s): John Simonson, Kirk Gill Respondent Lawyers(s): Armand Salese Arbitrator(s): Richard E. Anderson, Henry L. Dahl, Richard Marc Weinroth Hearing Site: Phoenix, AZ
| | |
10-02108 | 10/28/2010 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Michael S. Colombo Respondent(s): Michael Shaw Respondent Lawyers(s): Michael Shaw Arbitrator(s): Leah A. Murray Hearing Site: Dallas, TX
| | |
08-04310 | 10/26/2010 | Claimant(s): Alexis Miron Claimant Lawyers(s): Jeffrey L. Liddle Respondent(s): CIBC World Markets Corp., Oppenheimer & Co.. Respondent Lawyers(s): Ellen Sheridan-Cona, Lloyd C. Clareman Arbitrator(s): Howard J. Stiefel, Joseph W. Lodato, Elizabeth Elster Granville Hearing Site: New York, NY
| | |