| 09-01919 | 09/28/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Christopher Weighart
Respondent Lawyers(s): Christopher Grey Weighart
Arbitrator(s): Joseph F. Pittelli
Hearing Site: Philadelphia, PA
| | |
| 07-03541 | 09/03/2009 | Claimant(s): Agile Investments.
Claimant Lawyers(s): David E. Robbins
Respondent(s): D & D Securities., Solaris Alternative Capital Partners
Respondent Lawyers(s): Jeffrey Rosen, Paula D. Shaffner
Arbitrator(s): Mary Ann M. Melchiorre, Stephen T. Mayhew, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
| | |
| 08-00484 | 08/24/2009 | Claimant(s): Hector Huertas
Claimant Lawyers(s): Hector L. Huertas
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Michael E. Scullin, Richard Frank Colello, Gary I. Kravis
Hearing Site: Philadelphia, PA
|  | $0 |
| 05-05229 | 08/13/2009 | Claimant(s): Henry Zurlo
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): James Pimonte, Joseph Galati, Thomas Francis
Respondent Lawyers(s): Erin K. Linehan, James Pimonte, Thomas Francis
Arbitrator(s): Edward T. Borer, John P. Scordo
Hearing Site: Philadelphia, PA
| | $50,261 |
| 08-03446 | 08/10/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Michael Desfor
Respondent Lawyers(s): Michael Eric Desfor
Arbitrator(s): Edward T. Borer, Walter J. Schwenk, James T. McLaughlin
Hearing Site: Philadelphia, PA
| | |
| 06-03828 | 07/27/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Eric Boory, Eric Stevens, Gerald Grossman, Morgan Stanley DW Inc., Scott Lerner, Stanley Lerner
Respondent Lawyers(s): John Greco, Philip J. Campisi
Arbitrator(s): Sheldon Seligsohn, Glenn J. Hansen, Susan Mills Richmond
Hearing Site: Philadelphia, PA
| | |
| 07-02501 | 07/13/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Jeffrey Farrell
Respondent Lawyers(s): Jeffrey T. Farrell
Arbitrator(s): Richard A. Purkiss, Michael Allen Zeiler, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
| | |
| 08-04633 | 06/23/2009 | Claimant(s): Samir Lawrence
Claimant Lawyers(s): Samir Lawrence
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Paul J. Greco
Hearing Site: Philadelphia, PA
| | $0 |
| 08-03064 | 06/19/2009 | Claimant(s): Elizabeth Muller, Elizabeth O. Muller IRA, Robert R. Muller IRA, Robert R. Muller Profit Sharing Plan, Robert R. & Elizabeth O.S. Muller Trust,
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): Catherine Stewart, Catherine S. Kopley, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | $100,000 |
| 07-02208 | 06/09/2009 | Claimant(s): Saundra Genoni
Claimant Lawyers(s): Christopher Coss
Respondent(s): Bradford Shaffer
Respondent Lawyers(s): Claudine Q. Homolash
Arbitrator(s): Joseph L. Farrell, Richard Frank Colello, Thomas J. Beagan
Hearing Site: Philadelphia, PA
| | |
