| 09-03645 | 10/18/2010 | Claimant(s): Jerome Mayersak Fam. Ltd. Partnership
Claimant Lawyers(s): Jerome S. Mayersak
Respondent(s): Lightspeed Trading
Respondent Lawyers(s): Joseph Sullivan
Arbitrator(s): Ellen J. Abrams
Hearing Site: Ft. Lauderdale, FL
|  | $0 |
| 09-04980 | 10/18/2010 | Claimant(s): Robert J.A. Zito and Dana Cole
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Charles Albanese, Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Sandra Gale Behrle, Evdokia Sofos, Christine Costigan
Hearing Site: New York, NY
| | $0 |
| 08-02014 | 10/15/2010 | Claimant(s): Sean Greene
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Dennis Devaney, United Capital Asset Management, United Capital Markets.
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Chester L. Firestein, Vincent J. Natoli, Marvin B. Karelitz
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-03682 | 10/15/2010 | Claimant(s): James Vogel
Claimant Lawyers(s): Thomas H. Tucker
Respondent(s): Citigroup Global Markets., Peter Dolan, Troy Rothmann
Respondent Lawyers(s): Peter C Dolan, William A. Hohauser
Arbitrator(s): Morris J. Levin, Marilyn H. Zuckerman, John Joseph Cotter
Hearing Site: Boston, MA
| | $30,000 |
| 09-04354 | 10/15/2010 | Claimant(s): Jane Nave, William Nave, Jane Nave Revocable Living Trust, William Nave Revocable Living Trust
Claimant Lawyers(s): Philip J. Synderburn
Respondent(s): Suntrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrills
Arbitrator(s): Kathryn M. Welsh, Linda M. Pierson, John Frank Bauder
Hearing Site: Tampa, FL
| | Expungement |
| 09-02435 | 10/15/2010 | Claimant(s): Seymour L. Goldman, executor of the Esta
Claimant Lawyers(s): Mark D. Risk
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Marilyn J. Salzman, Julian F. Santos, Renee La Verne Ross CFP
Hearing Site: New York, NY
| | $0 |
| 09-06846 | 10/15/2010 | Claimant(s): Jeffrey McMorrow
Claimant Lawyers(s): Jeffrey Paul McMorrow
Respondent(s): Banc of America Investment Services Inc., Ryan Tidwell
Respondent Lawyers(s): Genna Stephens
Arbitrator(s): Glenn R. Oxner, James F. Major, William F. Julavits
Hearing Site: Columbia, SC
| | $0 |
| 09-05015 | 10/14/2010 | Claimant(s): John Hanson, John J. Hanson, IRA
Claimant Lawyers(s): Charles A. Bennett
Respondent(s): Morgan Stanley & Co., Vikas Mohindra
Respondent Lawyers(s): John L. Castelly, John Castelly
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
| | $4,699 |
| 09-05797 | 10/14/2010 | Claimant(s): Christopher Durham, Norris Durham, Durham Family Trust dated 10/30/96, Durham Family Trust of Scottsdale, AZ
Claimant Lawyers(s): Shana M. Rugani
Respondent(s): Glenn Foerster, Pamela Lawson, Robert Lawson, Lawson Financial Corporation
Respondent Lawyers(s): Michael Freedman
Arbitrator(s): Stephen J. Taddie, W. Michael Kelley, Steven M. Guttell
Hearing Site: Phoenix, AZ
| | $277,500 |
| 09-04884 | 10/14/2010 | Claimant(s): Chester Zoeller
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): Richard Mitchell, Sterne, Agee & Leach.
Respondent Lawyers(s): Stephen L. Poer
Arbitrator(s): R. Van Young, Robert M. Bath, Stephen Ronald Crissey
Hearing Site: Louisville, KY
| | $0 |
