| 07-02971 | 11/25/2008 | Claimant(s): Gail Berger
Claimant Lawyers(s): Lee H. Tockman
Respondent(s): Delmar Austin, Kenneth Rohr, Merrill Lynch Pierce Fenner & Smith Inc., Nora Winsberg, Timothy Cunningham
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Michael S. Matek, Frederic M. Rizzo, Irving A. Chesler
Hearing Site: Chicago, IL
|  | $0 |
| 07-02377 | 11/19/2008 | Claimant(s): Shirish Shah
Claimant Lawyers(s): Mitchell Kline
Respondent(s): Nilam Patel, New York Life Insurance
Respondent Lawyers(s): David S. Baffa, Michael A. Warner
Arbitrator(s): Arne R. Rode, Mitchell Lee Marinello, David J. Dahl
Hearing Site: Chicago, IL
| | |
| 04-03134 | 11/17/2008 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): CIBC World Markets Corp., Sami Daher
Respondent Lawyers(s): Joseph J. Sullivan, Sami N. Daher
Arbitrator(s): Steven Samson, John E. Sundeen, A. Brad Busscher
Hearing Site: Chicago, IL
| | |
| 07-01397 | 11/03/2008 | Claimant(s): Robert Elliott Hall
Claimant Lawyers(s): Leslie P. Poole
Respondent(s): Joseph Stevens & Company.
Respondent Lawyers(s): Michael C. Farkas
Arbitrator(s): Irving A. Chesler, Suanne F. Goldman, Richard A. Van Kalker
Hearing Site: Chicago, IL
| | $229,300 |
| 07-02804 | 10/31/2008 | Claimant(s): Charles Horberg, Sandra Horberg, Charles Horberg Jewelers. Pension
Claimant Lawyers(s): Eric E. Kalnins
Respondent(s): Sheldon Eisenberg, David A. Noyes & Company
Respondent Lawyers(s): Howard J. Stein
Arbitrator(s): Carmen P. Michelotti, Philip J. Glick, David M. Zimberoff
Hearing Site: Chicago, IL
| | $174,731 |
| 07-02565 | 09/15/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Kret
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Carmen P. Michelotti, Gary D. Krueger, James A. Murphy
Hearing Site: Chicago, IL
| | |
| 08-00350 | 09/08/2008 | Claimant(s): Patrick Quinn
Claimant Lawyers(s): Patrick J. Quinn
Respondent(s): Stephen Grady, MF Global Inc.
Respondent Lawyers(s): Steven J. Metz
Arbitrator(s): Samuel B. Garber
Hearing Site: Chicago, IL
| | |
| 06-04000 | 08/27/2008 | Claimant(s): Caroline Rothstein, Craig Gould, Shelton Shefferman, Steven Rothstein, Steven A. Rothstein C/F Natalie Rothstei, Nancy Rothstein IRA, Steven A. Rothstein IRA
Claimant Lawyers(s): Jonathan M Cyrluk
Respondent(s): Mark Goldwasser
Respondent Lawyers(s): Givonna L. Long
Arbitrator(s): Donald M. Thompson, Lisa A Randall-Haag, Adrian E. Mazar
Hearing Site: Chicago, IL
| | |
| 05-01538 | 08/07/2008 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): Kenneth Cecil
Respondent Lawyers(s): Jon D. Cohen
Arbitrator(s): Fay Clayton, Daniel Baruch Lidawer, Kathleen Hoey Gorr
Hearing Site: Chicago, IL
| | |
| 06-03584 | 08/01/2008 | Claimant(s): Clyde Bridgeman
Claimant Lawyers(s): Alan F. Block
Respondent(s): Michael Camp, Joseph Gunnar & Co.
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Ronald A. Lavery, David John Diersen, Michael S. Jordan
Hearing Site: Chicago, IL
| | $107,000 |
