| 10-05253 | 07/12/2011 | Claimant(s): Daniel Depalma
Claimant Lawyers(s): Daniel P DePalma
Respondent(s): John Liegey, Weston International Capital Markets Llc
Respondent Lawyers(s): Robert F. Waybrun, Robert F. Wayburn
Arbitrator(s): Gary W. Sherbell
Hearing Site: New York, NY
| | |
| 09-03980 | 07/12/2011 | Claimant(s): Alan Kovner, Alan Kovner Scholars Choice FBO J Kovner, Alan M. Kovner ACF Joshua A. Kovner U/NY, Alan Kover CGM IRA Custodian, Joshua A. Kovner TTEE FBO Alan Kovner
Claimant Lawyers(s): Vincent W. Ansanelli
Respondent(s): Citigroup Global Markets., Smith Barney.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Barry Feiden, Jerome H. Levy, Keely D. Parr
Hearing Site: New York, NY
|  | Expungement |
| 09-05934 | 07/11/2011 | Claimant(s): HAP Trading
Claimant Lawyers(s): Thomas J. McCabe
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Gabrielle Gould
Arbitrator(s): Robert L. Spangler, Allan N. Taffet, Mark J. Happe
Hearing Site: New York, NY
| | |
| 10-01485 | 07/08/2011 | Claimant(s): The Estate of Seymour Niesen by Co-Execu
Claimant Lawyers(s): Adam M. Green
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | $0 |
| 10-01995 | 07/08/2011 | Claimant(s): Eugene Barron
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Scott & Stringfellow
Respondent Lawyers(s): Christina M. Hill
Arbitrator(s): Ann Pinciss Berman, Irene C. Warshauer, Henry Maringer
Hearing Site: New York, NY
| | $0 |
| 10-00492 | 07/07/2011 | Claimant(s): Carole Abramovitz
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Lori Vinciguerra
Arbitrator(s): Robert Youdelman, Ira L. Blankstein, John Caracciolo
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 09-06045 | 07/06/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): Brian Wiegand
Respondent Lawyers(s): Henry Nguyen
Arbitrator(s): Irwin Kahn
Hearing Site: New York, NY
| | |
| 11-00386 | 07/06/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julian W. Wells
Respondent(s): James Porrazzo
Respondent Lawyers(s): James M. Porrazzo
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | |
| 09-02278 | 07/01/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Anthony Orefice
Respondent Lawyers(s): Robert D. Kraus
Arbitrator(s): James M. Baumann, Patrick J. Howley, Edward W. Morris
Hearing Site: New York, NY
| | |
| 09-03793 | 06/30/2011 | Claimant(s): Julia A. Keenan, IRA, Stephen R. Keenan
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jerome M Shafer, Ira M. Ross, Howard Weitz
Hearing Site: New York, NY
| | Expungement |
