| 10-02458 | 06/30/2011 | Claimant(s): David Dateshidze, Irakli Glonti
Claimant Lawyers(s): Arnold I. Kalman
Respondent(s): RBC Dain Rauscher.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): James J. Fishman, Lucas A. Ferrara, Judith E. Gross
Hearing Site: New York, NY
|  | $0 |
| 07-02619 | 06/06/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): John Ryan
Respondent Lawyers(s): Jeffrey E. Stark
Arbitrator(s): Judith E. Gross, Fred D. Nicolois, Walter John Engels
Hearing Site: New York, NY
| | |
| 09-00795 | 04/04/2011 | Claimant(s): Joseph Neira
Claimant Lawyers(s): Gary N. Moss
Respondent(s): Michael Hartzman, Randi Mason, Bristol Financial Services., J.P. Morgan Clearing Corp., Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Steven B. Feigenbaum, Thomas Vays
Arbitrator(s): Judith E. Gross, John Franklin Udochi, Martin A. Edelstein
Hearing Site: New York, NY
| | Expungement |
| 09-04222 | 08/16/2010 | Claimant(s): Michelle Brilliant, Robert Hougie
Claimant Lawyers(s): David B. Gordon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Rebecca A. Novak, Judith E. Gross, Eva H. Posman
Hearing Site: New York, NY
| | $0 |
| 09-04395 | 03/15/2010 | Claimant(s): Douglas Cummins
Claimant Lawyers(s): Alan L. Sklover
Respondent(s): Israel A. Englander & Co..
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Judith E. Gross, Carolyn J. Mastropieri, Irene C. Warshauer
Hearing Site: New York, NY
| | |
| 08-01098 | 01/02/2009 | Claimant(s): George Grafas
Claimant Lawyers(s): Charles Von Simson
Respondent(s): Whitaker Securities LLC
Respondent Lawyers(s): Scott D. Stechman
Arbitrator(s): Judith E. Gross, Alvin Green, Renee S. Rothschild
Hearing Site: New York, NY
| | |
| 07-03592 | 10/22/2008 | Claimant(s): Gregory Eagan
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Richard B. Palmer
Arbitrator(s): Diane Getzler, Judith E. Gross, Toby Susan DeSimone
Hearing Site: New York, NY
| | |
| 07-03474 | 10/20/2008 | Claimant(s): Alan Lehman
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Howard Corum, Chicago Investment Group
Respondent Lawyers(s): Elizabeth Neugent Dixon
Arbitrator(s): Judith E. Gross, Clarence Smith, Cheryl H. Agris
Hearing Site: New York, NY
| | $155,000 |
| 08-00969 | 10/17/2008 | Claimant(s): Aegis Capital Corp.
Claimant Lawyers(s): Michael H. Ference
Respondent(s): Munir Mrkulic
Respondent Lawyers(s): Munir Henry Mrkulic
Arbitrator(s): Judith E. Gross
Hearing Site: New York, NY
| | |
