| 10-00328 | 04/19/2011 | Claimant(s): World-Wide Sports Promotion, Ltd
Claimant Lawyers(s): Steven Michael Schwartz
Respondent(s): Ameriprise Financial Services., Jared Cohen
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
|  | $0 |
| 10-01016 | 04/18/2011 | Claimant(s): Richard Turnbull
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Michael Ross, Peter P. Skomorowsky, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 10-02014 | 04/14/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Steve Shepherd
Respondent Lawyers(s): Steve K. Shepherd
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 09-06980 | 04/14/2011 | Claimant(s): Keith Stock
Claimant Lawyers(s): Theodore L. Hecht
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Joseph B. Russell, Salvatore J. Bate, Anna Lascar
Hearing Site: New York, NY
| | $0 |
| 09-06456 | 04/07/2011 | Claimant(s): Michael Skakun
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Scott Nuttall, Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner, Scott E Nuttall
Arbitrator(s): J. Martin McDonough, Paul Weinberg, Kathleen Cawley
Hearing Site: New York, NY
| | Expungement |
| 09-07046 | 04/05/2011 | Claimant(s): William Copperill
Claimant Lawyers(s): Robert J. Boller
Respondent(s): Mitchell Sloane, Westrock Advisors.
Respondent Lawyers(s): Andrew Shapiro, Mitchell H. Sloane
Arbitrator(s): Carolyn A. Mann, Michael J. Deodati, Daniel J. Brooks
Hearing Site: New York, NY
| | $489,710 |
| 09-00795 | 04/04/2011 | Claimant(s): Joseph Neira
Claimant Lawyers(s): Gary N. Moss
Respondent(s): Michael Hartzman, Randi Mason, Bristol Financial Services., J.P. Morgan Clearing Corp., Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Steven B. Feigenbaum, Thomas Vays
Arbitrator(s): Judith E. Gross, John Franklin Udochi, Martin A. Edelstein
Hearing Site: New York, NY
| | Expungement |
| 09-06657 | 04/04/2011 | Claimant(s): Leslie Katz
Claimant Lawyers(s): Alex Gardner
Respondent(s): Citigroup Global Markets., Marvin Lerman
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Robert Manfredo, Romaine L. Gardner, Bernard Korman
Hearing Site: New York, NY
| | $0 |
| 09-05068 | 04/01/2011 | Claimant(s): Five Rivers Assets Management
Claimant Lawyers(s): Robert E. Thompson
Respondent(s): Joseph Leschinsky, Interactive Brokers LLC
Respondent Lawyers(s): Jocelyn Barone Partridge, John J. Nielands
Arbitrator(s): Fred L. Simon, Eugene G. P. Byrne, Alan Steven Brodherson
Hearing Site: New York, NY
| | $0 |
| 10-00669 | 04/01/2011 | Claimant(s): Isaac Pardo
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): David Kaminsky, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Robert S. Getman
Hearing Site: New York, NY
| | $0 |
