| 08-00997 | 10/21/2008 | Claimant(s): Ursula Marquardt
Claimant Lawyers(s): Paul Marquardt
Respondent(s): Ameriprise Financial Services., Mark Massaro
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Elizabeth K. Norsworthy
Hearing Site: Buffalo, NY
|  | $38 |
| 06-05309 | 06/12/2008 | Claimant(s): Roxanne Brooker
Claimant Lawyers(s): James G Brooker
Respondent(s): Anne Saeva, Chase Investment Services Corp., Paula Fritz
Respondent Lawyers(s): Carolyn G. Nussbaum
Arbitrator(s): Ralph L. Halpern, Karin A. Schlosser, Frederick N.C. Jerauld
Hearing Site: Buffalo, NY
| | |
| 07-02050 | 06/12/2008 | Claimant(s): Roxanne Brooker
Claimant Lawyers(s): James G. Brooker
Respondent(s): Anne Saeva, Chase Investment Services Corp., Paula Fritz, Banc One Capital Holdings c/o J.P.M, J.P.Morgan Chase & Co., J.P.Morgan Chase Bank NA
Respondent Lawyers(s): Carolyn G Nussbaum, Carolyn G. Nussbaum
Arbitrator(s):
Hearing Site: Buffalo, NY
| | |
| 08-00898 | 05/20/2008 | Claimant(s): Thomas Collins, Jr. and Heather Collins
Claimant Lawyers(s): Walter J. Wiggins
Respondent(s): Lawrence Ferrari
Respondent Lawyers(s): Lawrence Ferrari
Arbitrator(s): David K. Silverberg
Hearing Site: Buffalo, NY
| | $200,829 |
| 07-03169 | 04/10/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Michael Blum
Respondent Lawyers(s): Michael Blum
Arbitrator(s): David L. Hoffberg
Hearing Site: Buffalo, NY
| | $0 |
| 06-03130 | 12/21/2007 | Claimant(s): William Burke
Claimant Lawyers(s): Donald G. McGrath
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Eugene M. Setel, Keith A. Maier, Kathleen Fay Smith
Hearing Site: Buffalo, NY
| | $0 |
| 06-04911 | 10/30/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Demuynck
Respondent Lawyers(s): James Valere Demuynck
Arbitrator(s): AnnDrea M. Benson
Hearing Site: Buffalo, NY
| | |
| 06-00811 | 10/30/2007 | Claimant(s): Grace Weber, Elwood and Grace Weber
Claimant Lawyers(s): Michael P. McClaren
Respondent(s): Advest., Edward Carlsen, Merrill Lynch Pierce Fenner & Smith Inc., Roger Faulring
Respondent Lawyers(s): James D. Vannah, Paul K. Stecker
Arbitrator(s): Eugene M. Setel, Karin A. Schlosser, Michael Allen Zeiler
Hearing Site: Buffalo, NY
| | $685,170 |
| 07-00263 | 09/17/2007 | Claimant(s): Roslyn Maren
Claimant Lawyers(s): Joanne A. Schultz
Respondent(s): Moors & Cabot., Winslow, Evans & Crocker.
Respondent Lawyers(s): Peter F. Flynn, Robert N. Rapp
Arbitrator(s): Murray S. Marsh, Henry J. Beetz, Richard D. Rosenbloom
Hearing Site: Buffalo, NY
| | $0 |
