| 10-00927 | 12/02/2011 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): James E. Siegel
Respondent(s): Mourad Jridi
Respondent Lawyers(s): Reynaldo G. Geerken
Arbitrator(s): Robert Pincus, Douglas F. Stone, Martin H. Zern
Hearing Site: New York, NY
| | $0 |
| 10-02602 | 12/02/2011 | Claimant(s): A.K. Capital
Claimant Lawyers(s): Matthew E. Lipman
Respondent(s): Thomas McHugh, The Princeridge Group LLC, Triton Funding Partners
Respondent Lawyers(s): Daniel Cevallos, Victor C. Bushell
Arbitrator(s): Randolph Guggenheimer, Ellyn S. Roth, Robert Bartels
Hearing Site: New York, NY
| | $0 |
| 10-05542 | 12/01/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Loretta M. Gastwirth
Respondent(s): Fred Johnson
Respondent Lawyers(s): Fred Johnson
Arbitrator(s): Charles Kleinbaum, Denise N. Seegobin, David A. Schwarz
Hearing Site: New York, NY
| | $0 |
| 10-02372 | 11/25/2011 | Claimant(s): Amy Diamond
Claimant Lawyers(s): David S. Richan
Respondent(s): John Loofbourrow, John W. Loofbourrow Associates
Respondent Lawyers(s): William M. Dellicato
Arbitrator(s): Henry Tiffany, Madelon M. Rosenfeld, Robert S. Clemente
Hearing Site: New York, NY
| | $0 |
| 10-03704 | 11/23/2011 | Claimant(s): Newedge USA
Claimant Lawyers(s): Perry M. Amsellem
Respondent(s): Patrick Knoell
Respondent Lawyers(s): Joshua Parkhurst
Arbitrator(s): David S. Billet, Nancy S. Gerber, Marilyn J. Salzman
Hearing Site: New York, NY
| | $0 |
| 10-05307 | 11/23/2011 | Claimant(s): Thomas Frothingham
Claimant Lawyers(s): Louis H. Miron
Respondent(s): James Conlin, Kabrik Trading LLC
Respondent Lawyers(s): James Conlin
Arbitrator(s): Harold Webb
Hearing Site: New York, NY
| | $0 |
| 11-02458 | 11/17/2011 | Claimant(s): Steven Horn
Claimant Lawyers(s): David E. Robbins
Respondent(s): Whitehall Wellington Investments.
Respondent Lawyers(s): Stuart Weinberg
Arbitrator(s): Joseph B. Russell, Richard D. Chusid, Clive I. Morrick
Hearing Site: New York, NY
| | $0 |
| 08-00443 | 11/17/2011 | Claimant(s): Gerald Rupp, John Roberts
Claimant Lawyers(s): Robert J. Hausen
Respondent(s): Oppenheimer & Co.., Nancy Abraham
Respondent Lawyers(s): Peter Byer, Stephen Ehrenberg
Arbitrator(s): Joseph J. Arata, Robina Fedora Asti, Edward G. Toptani
Hearing Site: New York, NY
|  | $0 |
| 10-02646 | 11/17/2011 | Claimant(s): Robert West
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Dwight Wassong
Hearing Site: New York, NY
| | $0 |
| 09-06379 | 11/16/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Richard Rothenberg
Respondent Lawyers(s): Jonathan Sack
Arbitrator(s): David N. Brainin, Kenneth L. Stewart, Catherine I. Gulevich
Hearing Site: New York, NY
| | $0 |
