11-01626 | 12/20/2013 | Claimant(s): Principle Capital Partners, L.P. Claimant Lawyers(s): David A. Weintraub Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): Robert Topp Arbitrator(s): Joel Margolies, Perry Earl Phillips, Harvey Russell Preston Hearing Site: Boca Raton, FL
| | $137,000 |
11-01480 | 11/07/2013 | Claimant(s): Denise Valentini Claimant Lawyers(s): Denise L. Valentini Respondent(s): Meyers Associates, L.P. Respondent Lawyers(s): David S. Schrader Arbitrator(s): Steven R. Reininger, Joseph T. Donnantuoni, Dennis M. Ross Hearing Site: Boca Raton, FL
| | $0 |
13-00939 | 09/25/2013 | Claimant(s): Polly Knoll, SEP IRA Claimant Lawyers(s): Howard B. Prossnitz Respondent(s): Daniel Retzke, Edward D. Jones & Co., L.P. Respondent Lawyers(s): Dennis J. Capriglione Arbitrator(s): Sheldon I. Saitlin Hearing Site: Milwaukee, WI
| | $19,600 |
10-02424 | 09/18/2013 | Claimant(s): The Police and Fire Retirment System Claimant Lawyers(s): Michael J. Sheehan Respondent(s): Glenn Murray, Citigroup Global Markets., John Giampetroni, Morgan Stanley, GSC CDO, L.L.C., GSC PARTNERS CDO INVESTORS II, L.P., GSC PARTNERS CDO INVESTORS, GSCP (NJ) L.P., Morgan Stanley Dean Witter Respondent Lawyers(s): Daniel A. Ross, Gregory B. Simon, Rawn Howard Reinhard, Stefan R. Dandelles Arbitrator(s): Richard C. Vanden Brul, Stephen D Kursman, Gerald W. Hepp Hearing Site: Detroit, MI
| | $0 |
12-02877 | 09/11/2013 | Claimant(s): Ray Cahnman, Redwood Partners, L.P. Claimant Lawyers(s): Robert J. Mottern Respondent(s): Michael Cavallaro, Steven Hovde, Hovde Securities LLC Respondent Lawyers(s): Gerald B. Kline, Justin J. Millette Arbitrator(s): A. Brad Busscher, Samuel B. Garber, James Michael Bailey Hearing Site: Chicago, IL
| | Expungement |
11-04700 | 08/19/2013 | Claimant(s): Wanda Jeffries Claimant Lawyers(s): Robert A. Kantas Respondent(s): Edward D. Jones & Co., L.P. Respondent Lawyers(s): Dennis J. Capriglione Arbitrator(s): Donald Milo Helton, Kenneth M. Jackson, Richard K. Smith Hearing Site: Nashville, TN
| | Expungement |
12-00807 | 08/01/2013 | Claimant(s): Fred Guenther Claimant Lawyers(s): D. Daxton White Respondent(s): Crown Capital Securities, L.P. Respondent Lawyers(s): Craig R. Bockman Arbitrator(s): Lawrence Alexander Huerta, Otis E. Hackett, Kenneth Andrew Klinko Hearing Site: San Diego, CA
| | Expungement |
12-02781 | 07/11/2013 | Claimant(s): Enrique Montano Claimant Lawyers(s): Enrique Montano Respondent(s): Cuso Financial Services, L.P. Respondent Lawyers(s): Maria J. Seedner Arbitrator(s): James D. Knotter Hearing Site: San Diego, CA
| | $0 |
12-00123 | 05/17/2013 | Claimant(s): Judith Biss, Kenneth Biss, USA Hawaii Self Storage 14 LLC Claimant Lawyers(s): John Owen Murrin Respondent(s): Kenneth McDonald, Crown Capital Securities, L.P. Respondent Lawyers(s): Craig R. Bockman Arbitrator(s): Ralph H. Erickson, Elliott David Finkel, Robert A. Lombardi Hearing Site: Los Angeles, CA
| | Expungement |
09-04771 | 03/13/2013 | Claimant(s): Athena Venture Partners, L.P. Claimant Lawyers(s): David R. Moffitt Respondent(s): Goldman, Sachs and Company, Eric Gettleman, Scott Sheffer Respondent Lawyers(s): Edward M. Posner Arbitrator(s): Edward T. Borer, Kathleen K. Murphy, Demetrio S. Timban Hearing Site: Philadelphia, PA
| | $0 |