| 10-05233 | 07/22/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): Gregory Costello, North Brae Capital Group.
Respondent Lawyers(s): Gregory J. Costello
Arbitrator(s): Jerome H. Levy, James S. Hazard, Howard A. Baker
Hearing Site: New York, NY
|  | $0 |
| 08-04482 | 02/08/2011 | Claimant(s): Elizabeth Schaper, Estate of Armin Schaper, Estate of Ethel Schaper, IRA, Douglas Schaper Trust, Ethel Schaper Charitable Trust
Claimant Lawyers(s): Jill C. Owens
Respondent(s): Anthony D'Aquila, Citigroup Global Markets., Paul Olivo
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Richard S. Peskin, James S. Hazard, Joshua Mark Zucker
Hearing Site: New York, NY
| | Expungement |
| 09-03237 | 08/24/2010 | Claimant(s): Hilary Shane
Claimant Lawyers(s): Richard M. Asche
Respondent(s): First New York Securities L.L.C.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jacob Aschkenasy, James S. Hazard, Randolph Guggenheimer
Hearing Site: New York, NY
| | |
| 08-02315 | 06/03/2009 | Claimant(s): Nicholas S. Orlando & Michelle Orlando
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Citigroup Global Markets., Joseph Reap
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Kinchen C. Bizzell, James S. Hazard, Harrison Johnson
Hearing Site: New York, NY
| | $60,000 |
| 04-07141 | 04/25/2008 | Claimant(s): Mariam Nigohosian
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Waterhouse Securities a/k/a
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Judith Fields Jurney, James S. Hazard, Daniel A. Dolan
Hearing Site: New York, NY
| | $150,000 |
