| 09-01920 | 07/02/2010 | Claimant(s): Mark Patterson
Claimant Lawyers(s): Lance J. Gotko
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): James M. Baumann, Rick F. Suppa, Dwight Wassong
Hearing Site: Newark, NJ
| | |
| 08-04451 | 10/14/2009 | Claimant(s): Phyllis Andriani, PhylissAndriani TTEE Non-Marital Trusts, TTEE of the Martial Tr
Claimant Lawyers(s): Jacob Zamansky
Respondent(s): Wachovia Securities, Morgan Stanley & Co.
Respondent Lawyers(s): Alan S. Rafterman, Susan Poder MacFarlane
Arbitrator(s): James M. Baumann, Keely D. Parr, George E. Berkeley
Hearing Site: New York, NY
|  | $0 |
| 08-00849 | 08/18/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Michael Caprioni
Respondent Lawyers(s): Michael Caprioni
Arbitrator(s): James M. Baumann, Alan Shaw, Joseph Christopher Rosa
Hearing Site: Newark, NJ
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| 08-00362 | 06/15/2009 | Claimant(s): Steven Greenberg, Sylvia Greenberg, William Greenberg
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Capital Growth Financial
Respondent Lawyers(s): Compliance Officer
Arbitrator(s): James M. Baumann, Richard S. Peskin, Martin L. Feinberg
Hearing Site: New York, NY
| | $825,680 |
| 06-00575 | 03/14/2008 | Claimant(s): James O'Leary
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Citigroup Global Markets., Ron Sallet
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Jack Friedman, Louis H. Miron, James M. Baumann
Hearing Site: Newark, NJ
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