| 04-01174 | 09/26/2007 | Claimant(s): Kenneth Moskowitz, Leonard Moskowitz
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): James Odorczuk, Lehman Brothers Inc, Todd Rubsamen
Respondent Lawyers(s): Brian F. McDonough
Arbitrator(s): Gerry E. Feinberg, Saul Scheier, Jean C. Black
Hearing Site: New York, NY
|  | Expungement |
| 06-03425 | 09/18/2007 | Claimant(s): Nagai Rajendran
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Emmett A Larkin Company.
Respondent Lawyers(s): David J. Feingold
Arbitrator(s): Terrence H. Fraser, John E. Rothschild, Jeffrey P. Halperin
Hearing Site: New York, NY
| | $0 |
| 07-01034 | 09/18/2007 | Claimant(s): Big Apple Fuel.
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Timothy P. Davis
Arbitrator(s): James J. Fishman, Hilda H. Boas, Paul R. Walsh
Hearing Site: New York, NY
| | $0 |
| 06-04655 | 09/17/2007 | Claimant(s): Richard Ford
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Andrew Samalin, Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Daniel B. Berkson, Leah G. Rabinowitz, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | $0 |
| 06-00299 | 09/12/2007 | Claimant(s): Tango Fashions Trading, Ltd.
Claimant Lawyers(s): David H. Fromm
Respondent(s): Jon Lee
Respondent Lawyers(s): Jon Lee
Arbitrator(s): Joseph R. Brancaleone, Howard L. Sobel, Doris B. Nathan
Hearing Site: New York, NY
| | $0 |
| 99-03196 | 09/12/2007 | Claimant(s): Estate of Edward A. Cantor
Claimant Lawyers(s): Michael M. Cantor
Respondent(s): Jeffrey Grayson, Gibraltar Securities Co., Equitable Distributors., Hartford Insurance Co.
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Philip M. Mandel, Kenneth L. Stewart, Kent L. Benziger
Hearing Site: New York, NY
| | $0 |
| 06-02580 | 09/11/2007 | Claimant(s): Sheldon P. Spitz, TTEE, SOL Spitz CO.
Claimant Lawyers(s): Seth Muraskin
Respondent(s): Jeffrey Harriton, Timecaptial Securities Corporation
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Richard W Berenger, Jacob Aschkenasy, Larry Kars
Hearing Site: New York, NY
| | $0 |
| 06-04403 | 08/29/2007 | Claimant(s): Jonathan Davies
Claimant Lawyers(s): Jonathan Davies
Respondent(s): Gilad Sartena
Respondent Lawyers(s): Gilad Sartena
Arbitrator(s): John E. Hansen, Thomas J. Luz, Ralph A. DeSena
Hearing Site: New York, NY
| | $25,000 |
| 06-02395 | 08/24/2007 | Claimant(s): James Rusciano
Claimant Lawyers(s): Larry Kars
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Michael Busco
Respondent Lawyers(s): Dan A. Rosenbaum, David J. Butler
Arbitrator(s): Cynthia A. DiMarco, Andrew H. Freund, Robert T. Costello
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 07-00171 | 08/22/2007 | Claimant(s): Dianne Bergman
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): Gregory Goldstein, Stanislav Kaminsky, Steven Cohen, Marquis Financial Services.
Respondent Lawyers(s): David Hirschberg, Martin P. Unger, Stanislav Kaminsky
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | $3,289 |
