| 07-02973 | 08/27/2009 | Claimant(s): Kathleen Ternes, Marshall Glass, Richard Barnes, Keith and Rebecca Clower, Larry and Ellen Sagal
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Marco Caporale, Kovack Securities.
Respondent Lawyers(s): George L. Guerra, Marco Allessandro Caporale
Arbitrator(s): Samuel J. Henderson, Sharon Lee Chernin, David F. Simon
Hearing Site: Tampa, FL
|  | $530,000 |
| 07-02242 | 06/23/2008 | Claimant(s): Edward Bagley
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Max Assenheimer, Northeast Securities.
Respondent Lawyers(s): Adam S. Tanenbaum
Arbitrator(s): Don Muyskens, William J. Schifino, Jason S. Thackeray
Hearing Site: Tampa, FL
| | $100,000 |
| 06-05081 | 04/24/2008 | Claimant(s): David Ossenmacher
Claimant Lawyers(s): John R. Kiefner
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Nancy Anderson Tayborn
Arbitrator(s): Nicholas G. Dukas, Elizabeth A. Townes, Karl A. Vogeler
Hearing Site: Tampa, FL
| | |
| 06-00654 | 08/23/2007 | Claimant(s): Steven Heller
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Intersecurities.
Respondent Lawyers(s): Katherine C. Lake
Arbitrator(s): John P. Cullem, Patrick D. King, Gail E. Sasnett-Stauffer
Hearing Site: Tampa, FL
| | |
