| 09-07248 | 07/06/2011 | Claimant(s): Clifford Diver, Elaine Royce, Peter Jenkins, Hans L. Carstensen III, IRA, Michael L. Blau IRA, Nader Darehshori, Thomas J. Bucknum, Besty S. Pollack Trust by Besty S. Polla, Darren R. Scandone Trust by Darren R. Sc
Claimant Lawyers(s): Marjorie S. Cooke
Respondent(s): Michael Munson, Jefferies & Company.
Respondent Lawyers(s): John R. Snyder
Arbitrator(s): Nancy E. Watters, David J. Kaufman, Gene M. Bauer
Hearing Site: Boston, MA
|  | $0 |
| 09-02736 | 12/30/2010 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Allan N. Taffet
Respondent(s): Enable Capital Management, Jefferies & Company., Enable Growth Partners
Respondent Lawyers(s): Alyson M. Weiss, Michael J. Baker
Arbitrator(s): Jonathan H. Krotinger, Mary Margaret Bush, Mary Kay Higgins Crockett
Hearing Site: San Francisco, CA
| | $0 |
| 09-05032 | 12/15/2010 | Claimant(s): Ensco International Incorporated
Claimant Lawyers(s): Robert L. Wright
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Martin J. Auberbach
Arbitrator(s): Robert E. Treadaway, Edward J. Lynch, James W. Kerr
Hearing Site: Dallas, TX
| | $0 |
| 09-01514 | 11/03/2010 | Claimant(s): RAM Investors LP Jefferies, RLM Family Trust Jefferies, Ron & Lucille Matricaria Family Trust
Claimant Lawyers(s): David E. Robbins
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Brett D. Jaffe
Arbitrator(s): Charles R. Berry, Stephanie P. Lebhar, Sheila Grinell
Hearing Site: Phoenix, AZ
| | $0 |
| 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 |
| 09-02188 | 10/07/2010 | Claimant(s): John Patience, The John Patience Trust
Claimant Lawyers(s): James L. Kopecky, Kevin M. Flynn
Respondent(s): Jefferies & Company., Jefferies Investment Advisers
Respondent Lawyers(s): Matthew C. Applebaum
Arbitrator(s): John K. Notz, Henry G. Nothnagel, Samuel B. Garber
Hearing Site: Chicago, IL
| | $0 |
| 09-03441 | 04/26/2010 | Claimant(s): Peter Lombard
Claimant Lawyers(s): Howard I. Elman
Respondent(s): Jefferies & Company., Jefferies Group.
Respondent Lawyers(s): David Elsberg
Arbitrator(s): Howard I. Wilgoren, Jeffrey P. Petrucelly, Dennis R. Surprenant
Hearing Site: Boston, MA
| | |
| 09-03263 | 12/09/2009 | Claimant(s): Jefferies & Company.
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): John Coen
Respondent Lawyers(s): John Paul Coen
Arbitrator(s): Irwin Kahn, Lewis B. Insler
Hearing Site: New York, NY
| | |
| 08-00093 | 02/06/2009 | Claimant(s): Joseph Rosio
Claimant Lawyers(s): Norman B. Arnoff
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Joseph Allgor
Arbitrator(s): Edward L. Levine, Robert M. Berman, Thomas Anthony Brady
Hearing Site: Newark, NJ
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