| 10-04316 | 02/08/2011 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): John Carson
Respondent Lawyers(s): John B. Carson
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 08-04482 | 02/08/2011 | Claimant(s): Elizabeth Schaper, Estate of Armin Schaper, Estate of Ethel Schaper, IRA, Douglas Schaper Trust, Ethel Schaper Charitable Trust
Claimant Lawyers(s): Jill C. Owens
Respondent(s): Anthony D'Aquila, Citigroup Global Markets., Paul Olivo
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Richard S. Peskin, James S. Hazard, Joshua Mark Zucker
Hearing Site: New York, NY
|  | Expungement |
| 10-03927 | 02/03/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey F. Manzella
Respondent(s): Michael Gill
Respondent Lawyers(s): Michael James Gill
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | |
| 09-05276 | 02/03/2011 | Claimant(s): Lewis Kivo
Claimant Lawyers(s): Lewis Kivo
Respondent(s): Oppenheimer & Co.., Michael Lesser
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Kinchen C. Bizzell, Robert Youdelman, Myrna E. DeJesus
Hearing Site: New York, NY
| | $40,600 |
| 09-07082 | 02/02/2011 | Claimant(s): Juliana Attwood
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): Hapoalim Securities USA.
Respondent Lawyers(s): Donald N. Cohen
Arbitrator(s): Anna M. Fanelli, Donald Raymond McNally, John D. Nagy
Hearing Site: New York, NY
| | |
| 09-04246 | 02/01/2011 | Claimant(s): Diana Bennett, Martin Bennett
Claimant Lawyers(s): Raji Kochhar
Respondent(s): Randy Ross
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Dorothy F. Gray, Richard S. Peskin, Martin L. Feinberg
Hearing Site: New York, NY
| | $58,000 |
| 10-02619 | 01/31/2011 | Claimant(s): Mark Liebowitz
Claimant Lawyers(s): Stephen R. Bosin
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alychia Lynn Buchan
Arbitrator(s): Gilbert F. Bach, Sam Antar, Edwin H. Bennett
Hearing Site: New York, NY
| | |
| 08-03963 | 01/28/2011 | Claimant(s): Ruth Paulsen by David Paulsen thr POA
Claimant Lawyers(s): Herbert Rubin
Respondent(s): Wachovia Securities, Evergreen Investment Services.
Respondent Lawyers(s): Joseph P. Pohl
Arbitrator(s): Allan E. Johnson, John Nino Brenkovich, Richard Gee
Hearing Site: New York, NY
| | $27,015 |
| 10-02508 | 01/26/2011 | Claimant(s): Joseph Mendola
Claimant Lawyers(s): Marc A. Susswein
Respondent(s): The Citigroup Private Bank
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Abigail J. Pessen
Hearing Site: New York, NY
| | |
| 09-03493 | 01/25/2011 | Claimant(s): Amy Dunn, Brian Langille, Christian Miller, Ricardo Zulliger, Tanya Lincevski, Vincent Bilello, Vincent Faust
Claimant Lawyers(s): James M. Griffin
Respondent(s): Dresdner Kleinwort Securities LLC
Respondent Lawyers(s): Kenneth J. Kelly
Arbitrator(s): Gary W. Sherbell, Edwin H. Nordlinger, Kyle Maldiner
Hearing Site: New York, NY
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