| 11-03621 | 05/25/2012 | Claimant(s): Obsidian Financial Group, Llc
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Akil Channer
Respondent Lawyers(s): Akil Jelani Channer
Arbitrator(s): Toby Susan DeSimone
Hearing Site: New York, NY
| | |
| 10-03863 | 03/05/2012 | Claimant(s): Christopher Bartol, Matthew Spagat, Mitchell Simborg, Sheldon Simborg, Flagstaff
Claimant Lawyers(s): Elliot Samuels, John J. Muldoon
Respondent(s): David Lansburgh, Brewer Financial Services, Gar Wood Securities, Llc
Respondent Lawyers(s): Adam Erickson, James E. Dahl, Thomas K. Anderson
Arbitrator(s): John N. Chapin, Champ W. Davis, Eugene N. Halladay
Hearing Site: Chicago, IL
|  | $0 |
| 11-00388 | 03/02/2012 | Claimant(s): Mary Carkeet
Claimant Lawyers(s): K. Michael Swann
Respondent(s): International Assets Advisory, Llc
Respondent Lawyers(s): Kevin A. Carreno
Arbitrator(s): David M. Levine, Thomas Joseph Atkinson, Lauren S. Puritz
Hearing Site: Orlando, FL
| | $0 |
| 10-04203 | 10/06/2011 | Claimant(s): Judy Phinizy
Claimant Lawyers(s): Lewis Harley
Respondent(s): Moody Securities, Llc
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Bertrand C. Moser, Jeff Kilgore, David D. McNally
Hearing Site: Houston, TX
| | |
| 09-04261 | 06/09/2011 | Claimant(s): Chicago Investment Group, Llc
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Cinthia Collins
Respondent Lawyers(s): Cinthia Faye Collins
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
| | |
| 10-00640 | 01/20/2011 | Claimant(s): Lawrence Ngou
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): Lawrence Labine, Dewaay Financial Network, Llc
Respondent Lawyers(s): Alan S. Baskin, Sam Y. Edgerton
Arbitrator(s): Vaughn Thomas Hale, Thomas A. Culbertson, W. Alex King
Hearing Site: Los Angeles, CA
| | $100,000 |
| 09-03993 | 10/01/2010 | Claimant(s): David Sherman, David A.Sherman Liv Tr,
Claimant Lawyers(s): Harvey J. Barnett
Respondent(s): Sanford C. Bernstein & Co., Llc
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Stephen C. Esposito, Herbert S. Channick, David M. Fetter
Hearing Site: Chicago, IL
| | $600 |
| 09-06520 | 08/24/2010 | Claimant(s): Wells Fargo Investments, Llc
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Donald Duarte
Respondent Lawyers(s): Donald A. Duarte
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
| | |
| 08-03433 | 08/17/2009 | Claimant(s): Greg Klement, Mary Klement
Claimant Lawyers(s): Bryan Forman
Respondent(s): Andrew Tressler, American Capital Partners, Llc
Respondent Lawyers(s): Christoper J. Albanese, J. Christopher Albanese
Arbitrator(s):
Hearing Site: Dallas, TX
| | $387,960 |
| 08-02357 | 08/07/2009 | Claimant(s): ABS Brokerage Services, Iseroute, Llc, Pro Securities, L.L.C.
Claimant Lawyers(s): Carl M. Greenfeld
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Donald J. Rasweiler, Arthur P. Fisch, Douglas F. Stone
Hearing Site: New York, NY
| | |
