| 10-00564 | 10/26/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Brian Mcloughlin
Respondent Lawyers(s): Brian McLoughlin
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
| | |
| 10-01890 | 10/26/2010 | Claimant(s): Cantella & Co..
Claimant Lawyers(s): George W. Mann
Respondent(s): Thomas Battista
Respondent Lawyers(s): Thomas John Battista
Arbitrator(s): Kelly M. Lonergan
Hearing Site: Boston, MA
| | |
| 10-01080 | 10/25/2010 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Cliff Anderson
Respondent(s): John Andrews
Respondent Lawyers(s): John Andrews
Arbitrator(s): Daniel Herbert Margolis
Hearing Site: Washington, DC
| | |
| 10-01563 | 10/25/2010 | Claimant(s): Paul Scileppi
Claimant Lawyers(s): Paul Scileppi
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): John A. Astorina, Kenneth M. Felder, Suzanne Amy Zalewski
Hearing Site: New York, NY
| | |
| 10-02359 | 10/25/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): David Lamarche
Respondent Lawyers(s): David Edward Lamarche
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
| | |
| 08-01050 | 10/22/2010 | Claimant(s): Jefferies & Company.
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Daniel Cohen, Jonathan Sopher, Cohen Asset Management, Cohen Capital Partners II, Infinity Equities 1 LLC
Respondent Lawyers(s): Pamela L. Klienberg, Robert L. Herskovits, William A. Rome
Arbitrator(s): Bernard A. Kesselman, Hugh N. Fryer, Kip C. Lubcke
Hearing Site: New York, NY
| | Expungement |
| 09-03536 | 10/22/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Michael Bock
Respondent Lawyers(s): David J. Feingold
Arbitrator(s): Lawrence S. Silver, Jeffrey R. Roth, James Conrad Sankpill
Hearing Site: Miami, FL
| | |
| 10-01798 | 10/22/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Robert Gunning
Respondent Lawyers(s): Robert Holmes Gunning
Arbitrator(s): Martin Mandel
Hearing Site: San Francisco, CA
| | |
| 09-04310 | 10/21/2010 | Claimant(s): New England Securities, New England Life Insurance Company
Claimant Lawyers(s): Martin Harris
Respondent(s): James Archibald
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): Robert H. Watts, David Ellis, Robert S. Rosenfeld
Hearing Site: Manchester, NH
| | |
| 09-05471 | 10/21/2010 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): John Farrell
Respondent(s): Kristian Colvin
Respondent Lawyers(s): Jenny K. Goodman
Arbitrator(s): Lisa M. Roth, Janice L. Sperow, Sally G. Williams
Hearing Site: San Diego, CA
| | |
