| 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
| | |
| 10-04158 | 06/02/2011 | Claimant(s): K.C. Ward Financial LLC
Claimant Lawyers(s): Charles Carrillo
Respondent(s): James Mirenda
Respondent Lawyers(s): Brian Reis
Arbitrator(s): Peter A. Goldman
Hearing Site: New York, NY
| | |
| 10-04549 | 05/27/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Frank Baudille
Respondent Lawyers(s): Frank David Baudille
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | |
| 09-06905 | 05/27/2011 | Claimant(s): US Airways.
Claimant Lawyers(s): Michael J. Baratz
Respondent(s): George Perry, Joseph Arena, Lars Jacobson, Roland Hansalik
Respondent Lawyers(s): Philip E. Cook
Arbitrator(s): Marguerite B. Filson, Sally Jane Sancimino, Maya Steinitz
Hearing Site: New York, NY
|  | $15,000,000 |
| 10-05139 | 05/26/2011 | Claimant(s): Empire Asset Management Company
Claimant Lawyers(s): Anthony G. Mango
Respondent(s): Nicholas Dito
Respondent Lawyers(s): Nicholas C. Dito
Arbitrator(s): Irwin Kahn
Hearing Site: New York, NY
| | |
| 09-02155 | 05/26/2011 | Claimant(s): Cleveland Currie, Maria Currie
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Thomas E. Duggan, Arthur Neil Tolciss
Hearing Site: New York, NY
| | $0 |
| 09-03961 | 05/25/2011 | Claimant(s): Howard Wilkov, The Wilkov Family Limited Partnership
Claimant Lawyers(s): Samuel L. Butt
Respondent(s): Ameriprise Financial Services., Jennifer Wilkov
Respondent Lawyers(s): Eric R. Breslin, Michael J. Zaretsky
Arbitrator(s): Robert Youdelman, Arnold Wagner, Herman Taub
Hearing Site: New York, NY
| | $501,200 |
| 08-03810 | 05/25/2011 | Claimant(s): Spitz Family Partnership L.P.
Claimant Lawyers(s): Christopher A. Bacotti
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Joan M. Traub, Joshua Mark Zucker, Ronald J. Colombo
Hearing Site: New York, NY
| | $0 |
| 10-03054 | 05/23/2011 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Jonathan Valk
Respondent Lawyers(s): Steven M. Frederick
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | |
| 10-05357 | 05/20/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Mark T. Carberry
Respondent(s): Jessica Shaughnessy
Respondent Lawyers(s): Robert G. Clyne
Arbitrator(s): Franklin P. Chapman
Hearing Site: New York, NY
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