| 07-01843 | 05/06/2009 | Claimant(s): Ryan Beck & Co.
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Gennaro Vuono
Respondent Lawyers(s): Leonard N. Zito
Arbitrator(s):
Hearing Site: Philadelphia, PA
| | |
| 08-03057 | 05/06/2009 | Claimant(s): Ralph Plechner
Claimant Lawyers(s): Ralph E. Plechner
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Alan J. Blocher
Hearing Site: Philadelphia, PA
|  | $0 |
| 08-02780 | 04/29/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): William Dahm
Respondent Lawyers(s): William C. Dahm
Arbitrator(s): Edward T. Borer, Peter D. Shelp, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
| | |
| 04-04992 | 04/23/2009 | Claimant(s): Clark C. Coulston and Lucille Coulston
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | $0 |
| 07-02448 | 03/25/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Harry Virunurm
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Richard A. Purkiss, David M. Panko, Howard B. Scherer
Hearing Site: Philadelphia, PA
| | $97,330 |
| 07-00977 | 03/17/2009 | Claimant(s): James Martin, Estate of Barbara Martin
Claimant Lawyers(s): Neil W. Yahn
Respondent(s): Citigroup Global Markets., Ronald Wetzel
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Dean L. Scarpa, John L. Braxton, Allen M. Kerpan
Hearing Site: Philadelphia, PA
| | $1 |
| 06-05265 | 02/27/2009 | Claimant(s): William Gomez
Claimant Lawyers(s): William J. Clements
Respondent(s): William Fretz, The Keystone Equities Group, L.P.
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Cornelius C. Clancy, Edward Blumstein, Ronald J. Bolognese
Hearing Site: Philadelphia, PA
| | |
| 08-01133 | 02/05/2009 | Claimant(s): Ruth Mulholland
Claimant Lawyers(s): Ruth Mulholland
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): Carranza M. Pryor
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | $7,465 |
| 08-01952 | 12/02/2008 | Claimant(s): Dr. Sava Lukac
Claimant Lawyers(s): Sava Lukac
Respondent(s): Citigroup Global Markets., Marlon Travis
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Walter R. Milbourne
Hearing Site: Philadelphia, PA
| | $0 |
| 08-00950 | 11/14/2008 | Claimant(s): Michael OKeefe
Claimant Lawyers(s): Christopher G. Massey
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Andrew Lipton
Arbitrator(s): Felix A. Meschini, Catherine Stewart, George F. Adams
Hearing Site: Philadelphia, PA
| | Expungement |
