| 09-00742 | 12/30/2009 | Claimant(s): Barbara Russo, Daniel Russo
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Wachovia Securities, Michael Greene
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Larry Kars, Arthur Best, Sharon A. McCloskey
Hearing Site: New York, NY
|  | $0 |
| 09-01033 | 12/30/2009 | Claimant(s): Walter D. Blake-Trustee
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): James Jahnsen, Marc Friedson, J. B. Hanauer & Co
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): George W. Rodormer
Hearing Site: Boca Raton, FL
| | $0 |
| 05-00924 | 12/29/2009 | Claimant(s): Barry and Janet Lang
Claimant Lawyers(s): Philip M. Giordano
Respondent(s): Richard Laine, Kimball & Cross Investment Management
Respondent Lawyers(s): John C. Clifford, Richard R. Laine
Arbitrator(s): Howard M. Miller, Jeffrey L. Frankel, John J. Kenny
Hearing Site: Boston, MA
| | $145,846 |
| 08-03101 | 12/29/2009 | Claimant(s): Jean Powell
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Norair Seferian, Peter Marzo, GunnAllen Financial.
Respondent Lawyers(s): Jay Marc Israel, Norair Allain Seferian, Timothy Feil
Arbitrator(s): Joan M. Traub, Christine Costigan, Michele S. Riley
Hearing Site: New York, NY
| | Expungement |
| 09-02956 | 12/29/2009 | Claimant(s): Jose Fabian Severi & Ana Maria Silva JTW
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Marc T. Danon
Hearing Site: Boca Raton, FL
| | $16,213 |
| 09-04070 | 12/29/2009 | Claimant(s): Manual Millan
Claimant Lawyers(s): Manual Millan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Howard Breindel
Hearing Site: New York, NY
| | $17,451 |
| 08-02529 | 12/29/2009 | Claimant(s): Andrew Walzer
Claimant Lawyers(s): Andrew I. Walzer
Respondent(s): Gerard Koske, Muriel Siebert & Co.., Muriel Siebert, National Financial Services LLC
Respondent Lawyers(s): Hiram D. Gordon, Michael G. Shannon
Arbitrator(s): Michael H. DuBoff, Marguerite B. Filson, Michael L. Moran
Hearing Site: New York, NY
| | $0 |
| 08-04392 | 12/29/2009 | Claimant(s): Peter J. DaPuzzo and Jane DaPuzzo
Claimant Lawyers(s): Steven B. Feigenbaum
Respondent(s): Robert Myers
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Donald J. Rasweiler, Barry Feiden, George W. Fehling
Hearing Site: New York, NY
| | $0 |
| 08-02857 | 12/28/2009 | Claimant(s): GSI Commerce Solutions.
Claimant Lawyers(s): James T. Smith
Respondent(s): Joseph Arena, Kurt Locher, Neil Greenspan, Sanford Haber
Respondent Lawyers(s): Robert W. Gaffey, Theodore A. Krebsbach
Arbitrator(s): Steven T. Stern, Catherine S. Kopley, Shelley J. Michaels
Hearing Site: Philadelphia, PA
| | $0 |
| 09-04426 | 12/28/2009 | Claimant(s): Charles Matisi
Claimant Lawyers(s): Charles Matisi
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Peter A. Goldman
Hearing Site: New York, NY
| | $163 |
