| 08-04142 | 12/02/2009 | Claimant(s): Guya Rai
Claimant Lawyers(s): Noah A. Kinigstein
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Eliza A. Kaiser
Arbitrator(s): John N. Polakas, Aaron Tyk, William H. Morley
Hearing Site: New York, NY
| | |
| 07-02191 | 06/29/2009 | Claimant(s): First Empire Securities.
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): Lawrence Miele
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): J. Julie Jason, Aaron Tyk, Elliot Berman
Hearing Site: New York, NY
| | |
| 09-01732 | 05/19/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Michael J. DiMattia
Respondent(s): Jeremy Donefer, John Pasacreta, John Rotando, Jordan Samelson, Morgan Stanley & Co.
Respondent Lawyers(s): John Greco, Philip J. Campisi
Arbitrator(s): Barbara J. Glenns, Melvin S. Slade, Aaron Tyk
Hearing Site: New York, NY
| | |
| 08-01561 | 01/02/2009 | Claimant(s): Camille Parrella
Claimant Lawyers(s): Karen J. Van Ingen
Respondent(s): Stifel, Nicolaus & Co.., John Gallagher, Ryan Beck & Co., Stifel Financial Corp.
Respondent Lawyers(s): Joseph C. Rosa
Arbitrator(s): Aaron Tyk
Hearing Site: New York, NY
|  | $0 |
| 07-03004 | 04/03/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Brandon K. Hemley
Respondent(s): Jeffrey Lin
Respondent Lawyers(s): Jeffrey S. Lin
Arbitrator(s): Burton M. Fendelman, David N. Brainin, Aaron Tyk
Hearing Site: New York, NY
| | $65,334 |
