08-02022 | 11/17/2009 | Claimant(s): James Czyz Claimant Lawyers(s): Richard P. Jeffries Respondent(s): Milestone Financial Services., Penson Financial Services. Respondent Lawyers(s): Matthew J. Schonberg, Tim Davis Arbitrator(s): Frank D. Connett, Frederick S. Cassman, Bryan R. Hill Hearing Site: Omaha, NE
| | $199,743 |
08-03597 | 10/05/2009 | Claimant(s): Penson Financial Services. Claimant Lawyers(s): Jeff Logan Respondent(s): Aaron Holland Respondent Lawyers(s): Aaron Holland Arbitrator(s): Herbert B. Williams, Thomas E. Maloney, Joan M. Smith Hearing Site: Baltimore, MD
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08-01533 | 09/25/2009 | Claimant(s): Solaris Opportunity, L.P. Claimant Lawyers(s): James E. Judge Respondent(s): Phlip Pendergraft, Penson Financial Services. Respondent Lawyers(s): Thomas W. Craddock Arbitrator(s): Stuart D. Summers, Philip J. Glick, Ralph O. Bolt Hearing Site: Chicago, IL
| | $200,000 |
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
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07-02662 | 05/29/2009 | Claimant(s): Murphy & Durieu Claimant Lawyers(s): James M. Moriarty Respondent(s): Cindy Dodeles, David Dodeles, J.P. Morgan Securities, Louis Cesario, RBC Capital Markets Corporation, Hamershlag, Dodeles & Co., Penson Financial Services. Respondent Lawyers(s): Cindy Dodeles, David S. Richan, Gene L. Small, Ivan Dodeles, Joseph F. Keenan, Louis Cesario Arbitrator(s): David S. Billet, Robert Pincus, Anthony J. Raimondi Hearing Site: New York, NY
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07-02621 | 02/06/2009 | Claimant(s): Optionshouse. Claimant Lawyers(s): Breck Harrison Respondent(s): Amir Jivani, Daniel Rosenthal, James Halm, Raza Jivani, Robert Baldwin, Tycho Clayton, Interactive Brokers LLC, Penson Financial Services. Respondent Lawyers(s): Breck Harrison, John J. Nielands, Jonathan D. Neerman, Richard J. Gerace Arbitrator(s): Michael Hendryx, William Edward Buck, Maurice J. Fallas Hearing Site: Houston, TX
| | $51,575 |
08-00083 | 06/13/2008 | Claimant(s): Penson Financial Services. Claimant Lawyers(s): Edward W. Larkin Respondent(s): Arbco Capital Management, LLP Respondent Lawyers(s): Hayim Regensberg Arbitrator(s): Richard W. Cutler, Irene C. Warshauer, Joan Seewald Brodsky Hearing Site: New York, NY
| | $1,322,100 |
06-05369 | 02/05/2008 | Claimant(s): Penson Financial Services. Claimant Lawyers(s): Will S. Montgomery Respondent(s): MISR Securities International Respondent Lawyers(s): Debra G. Speyer Arbitrator(s): Charles A. Joplin, C. Sumpter Logan, Larry N. Quinn Hearing Site: Dallas, TX
| | $0 |
05-05919 | 12/28/2007 | Claimant(s): Silverstein Investments, LTD., Goldendale Investments, Ltd and et al Claimant Lawyers(s): Wayne Josel Respondent(s): David Niederkrome, John Jessum, Great Eastern Securities., Penson Financial Services. Respondent Lawyers(s): Carole R. Bernstein, Derrick Johnson, Glenn A. Duhl, Will S. Montgomery Arbitrator(s): Beth J. Falk, Peter P. Skomorowsky, Elizabeth Elster Granville Hearing Site: New York, NY
| | $836,290 |
07-01034 | 09/18/2007 | Claimant(s): Big Apple Fuel. Claimant Lawyers(s): Benjamin Lapin Respondent(s): Penson Financial Services. Respondent Lawyers(s): Timothy P. Davis Arbitrator(s): James J. Fishman, Hilda H. Boas, Paul R. Walsh Hearing Site: New York, NY
| | $0 |