| 07-03139 | 03/02/2010 | Claimant(s): Kenneth Lipper, Lipper & Company., Lipper & Company, L.P., Lipper Partners
Claimant Lawyers(s): Catherine M. Foti
Respondent(s): Lipper Convertibles, L.P. (Richard Willi, Lipper Fixed Income Fund, L.P. by Richar
Respondent Lawyers(s): Ronald D. Shindler, Thomas A. Dubbs
Arbitrator(s): Andrew D. Hudders, Robert Pincus, Alice J. P. Lee-Getman
Hearing Site: New York, NY
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| 09-00228 | 10/12/2009 | Claimant(s): Robert Logan
Claimant Lawyers(s): Robert Logan
Respondent(s): Anthony Inkumsah, Ekn Financial Services Inc.
Respondent Lawyers(s): Bradley D. Schnur
Arbitrator(s): Robert Pincus, Marilyn J. Salzman, Susan L. Smithline
Hearing Site: New York, NY
|  | $18,175 |
| 07-02662 | 05/29/2009 | Claimant(s): Murphy & Durieu
Claimant Lawyers(s): James M. Moriarty
Respondent(s): Cindy Dodeles, David Dodeles, J.P. Morgan Securities, Louis Cesario, RBC Capital Markets Corporation, Hamershlag, Dodeles & Co., Penson Financial Services.
Respondent Lawyers(s): Cindy Dodeles, David S. Richan, Gene L. Small, Ivan Dodeles, Joseph F. Keenan, Louis Cesario
Arbitrator(s): David S. Billet, Robert Pincus, Anthony J. Raimondi
Hearing Site: New York, NY
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| 08-03031 | 05/21/2009 | Claimant(s): Andrew Tressler, Anthony Graziano, Derek Rehill, Todd Aitken, NoCoa Corporation
Claimant Lawyers(s): Andrew Jonathan Tressler
Respondent(s): Carl Giangrande
Respondent Lawyers(s): Carl Anthony Giangrande
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
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| 08-01286 | 03/25/2009 | Claimant(s): Michael Pickholz
Claimant Lawyers(s): Robert Heim
Respondent(s): ThinkEquity Partners LLC
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Robert Pincus, Marilyn J. Salzman, J. Julie Jason
Hearing Site: New York, NY
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| 07-02345 | 01/22/2009 | Claimant(s): Continental Broker-Dealer Corp. by Ric
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): Edward Schlitzer, George Calleia, Patricia Jamison, Wexford Clearing Services
Respondent Lawyers(s): George Calleia, John R. Braatz
Arbitrator(s): Andrew D. Hudders, Robert Pincus, Richard E. Lerner
Hearing Site: New York, NY
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| 07-01635 | 12/21/2007 | Claimant(s): Michael Pata, Steven Dubinsky
Claimant Lawyers(s): Michael Pata, Steven Dubinsky
Respondent(s): Institutional Equity Corporation
Respondent Lawyers(s): Jeffrey Michel
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
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