| 10-04788 | 09/09/2011 | Claimant(s): Pavillion Trading LLC
Claimant Lawyers(s): Irwin Stein
Respondent(s): James Kupfer, Penson Financial Services., Transcend Capital LLC
Respondent Lawyers(s): Ben Broocks, Lee Polson, Tim Davis
Arbitrator(s): Michael G. Hanlon
Hearing Site: Boise, ID
|  | Expungement |
| 08-03816 | 07/29/2011 | Claimant(s): Othello Capital GP, Othello Capital Partners LP
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Jackson Su, Penson Financial Services., Othello Capital Management LLC
Respondent Lawyers(s): Elizabeth A. Frohlich, Janet K. DeCosta
Arbitrator(s): Mark I Preston, Maxel (Bud) B. Silverberg, Theodore Mack
Hearing Site: Dallas, TX
| | $250,000 |
| 10-04231 | 03/14/2011 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Michelle Young
Respondent(s): James R. McGonigle & Kathleen C. McGonig
Respondent Lawyers(s): James R. McGonigle
Arbitrator(s): Alan J. Blocher, Caryl S. Bernstein, Edward T. Moody
Hearing Site: Wilmington, DE
| | Stipulated Award |
| 09-03618 | 03/11/2011 | Claimant(s): Emma Zilber, Jason Kim, Leon Zilber
Claimant Lawyers(s): George C. Miller
Respondent(s): David Yair, Investscape Inc., Penson Financial Services.
Respondent Lawyers(s): David Yair, Mark Cuccaro, Michael Langnas
Arbitrator(s): Edward Baer, Howard D. Jacob, Joel C. Keilson
Hearing Site: New York, NY
| | $0 |
| 09-04093 | 03/08/2011 | Claimant(s): Emmett Carter
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): James Holdman, Penson Financial Services.
Respondent Lawyers(s): MacAllynn J. Achee, Mark G. Hanchet
Arbitrator(s): Daniel Eugene Bivins, Frederick S. Duncan, Frank A. Little, Jr.
Hearing Site: New Orleans, LA
| | $869,170 |
| 09-01494 | 06/29/2010 | Claimant(s): Kenneth Iwanicki, Penelope Iwanicki
Claimant Lawyers(s): Michael J. Calvey
Respondent(s): Richard Lewin, Robert Lewin, Basic Investors Inc., Penson Financial Services.
Respondent Lawyers(s): Jonathan D. Neerman, Mark S. Gregory, Thomas Laundrie, President
Arbitrator(s): Robert W. Edler, Theodore M. Utchen, Craig D. Cook
Hearing Site: Chicago, IL
| | $0 |
| 09-00266 | 06/25/2010 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Phil Pendergraft, Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Henry Hermann, Richard A Miller, Darrell G. Compton
Hearing Site: Dallas, TX
| | |
| 09-05556 | 05/21/2010 | Claimant(s): John Sellers
Claimant Lawyers(s): John Garnet Sellers
Respondent(s): Donald Wojnowski, Steven Rabinovici, Empire Financial Group., Empire Investment Advisors., Jesup & Lamont Inc., Jesup & Lamont Securities Corp, Penson Financial Services.
Respondent Lawyers(s): Mark Cuccaro, Todd A. Zuckerbrod
Arbitrator(s): Edith N. Dinneen
Hearing Site: Tampa, FL
| | |
| 09-01641 | 03/16/2010 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Steven H. Thomas
Respondent(s): Jesup & Lamont Securities Corp
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): R. Theodore Moock, Robert R. Nursey, Robert E. Behrendt
Hearing Site: Dallas, TX
| | |
| 08-00836 | 02/04/2010 | Claimant(s): John Ligums, Mark Leventhal, Jelco.
Claimant Lawyers(s): Pete S. Michaels
Respondent(s): Donald Wojnowski, Empire Financial Group., JESUP & LAMONT SECURITIES CORP, Penson Financial Services.
Respondent Lawyers(s): Christina Tsesmelis, Maureen A. Ryan, Todd A. Zuckerbrod
Arbitrator(s): Howard I. Wilgoren, Jeffrey P. Petrucelly, Maxwell J. Mahoney
Hearing Site: Boston, MA
| | $0 |
