| 09-06230 | 07/27/2011 | Claimant(s): JCE/CBI, Ltd.
Claimant Lawyers(s): Thane Tyler Sponsel
Respondent(s): Morgan Stanley, Toni Melinder
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Thomas A. Cipolla, Sherry R. Wetsch, Thomas C. Gallo
Hearing Site: Houston, TX
|  | Stipulated Award and Expungement |
| 08-04586 | 07/21/2011 | Claimant(s): Daniel Staton, Staton Family Investments, Ltd.
Claimant Lawyers(s): Martin P. Russo
Respondent(s): Christopher Jacobs, Gerald Schwinn, James Dickson, Margot Dwyer, Merrill Lynch Pierce Fenner & Smith Inc., The Jacobs Team
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Frances D. Sheehy, Morton D. Siegel, Allen Robin
Hearing Site: Boca Raton, FL
| | $0 |
| 10-00859 | 04/07/2011 | Claimant(s): Andrew Gay
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Bestvest Investments, Ltd.
Respondent Lawyers(s): Nicholas J. Guiliano
Arbitrator(s): Paul Ribner, Donald S. Bauman, John Herbert Grefe
Hearing Site: Philadelphia, PA
| | $0 |
| 09-04760 | 12/31/2010 | Claimant(s): Jan Arnett
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Robert Kramer, Lloyd, Scott & Valenti, Ltd.
Respondent Lawyers(s): David E. Robbins, Luann Laney
Arbitrator(s): Bernard A. Kesselman, J. Martin McDonough, Howard Weitz
Hearing Site: New York, NY
| | $0 |
| 09-02635 | 06/18/2010 | Claimant(s): Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Thomas B. Kinzler
Respondent(s): Citigroup Global Markets., Citigroup Global Markets, Ltd.
Respondent Lawyers(s): Susan J. Steinthal
Arbitrator(s): Richard S. Peskin, William C. Struyk, Richard J. McLynn
Hearing Site: New York, NY
| | |
| 08-02695 | 04/20/2010 | Claimant(s): Gaedeke Holdings II, Ltd., Gaedeke Holdings III, Gaedeke Holdings
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Stifel, Nicolaus & Co.., Century Securities Associates.
Respondent Lawyers(s): Carrie Bechtold
Arbitrator(s): Jeff Abrams, Bill H. Brister, Rosemary Rachael
Hearing Site: Dallas, TX
| | $0 |
| 08-00858 | 06/05/2009 | Claimant(s): Alan Meinen, Jane Meinen, The Meinen Family Partnership, Ltd.
Claimant Lawyers(s): Melanie D. Bragg
Respondent(s): Shawn Goheen, American General Securities Incorporated
Respondent Lawyers(s): David K. Bissinger, Melinda Lucas Peevy
Arbitrator(s): Raymond C. Kerr, James E. Lane, Mark Edward Tredennick
Hearing Site: Houston, TX
| | $1,301,250 |
| 08-00636 | 05/22/2009 | Claimant(s): Antoine Katbe
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Nicholas Buonocore, Olympia Asset Management, Ltd.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Ernest Fanwick, Alvin Green, Lawrence B. Schiffman
Hearing Site: New York, NY
| | $49,243 |
| 06-05218 | 02/25/2009 | Claimant(s): Agisilaos Cofinas, Fernando Canotilho De Sousa, Fordhill Services Ltd., Global Ocean Int'l Investments, Ltd., Athanassia Vlahaki and Nikolaidis Laza, Ioannis and Sofia Allagiannis
Claimant Lawyers(s): David P. Heim
Respondent(s): Sterling Financial Investment Group,In
Respondent Lawyers(s): Joshua Bleil
Arbitrator(s): Brian F. Amery, Anthony J. Hom, Cecilia B. Loving
Hearing Site: New York, NY
| | $5,232,730 |
| 07-02520 | 01/07/2009 | Claimant(s): T. Bradley Sprague & Jeannette Sprague
Claimant Lawyers(s): Douglass D. Hearne
Respondent(s): Steven Hill, Laidlaw & Company, Ltd.
Respondent Lawyers(s): C. Mark Stratton
Arbitrator(s): Jeff Kilgore, Charles S. Chester, Carol Frances Relihan
Hearing Site: Houston, TX
| | $297,051 |
