| 10-02346 | 12/09/2010 | Claimant(s): Trident Partners Ltd.
Claimant Lawyers(s): William Quigley
Respondent(s): Brian Martinsen
Respondent Lawyers(s): Brian Keith Martinsen
Arbitrator(s): Evonne W.J. Tolbert
Hearing Site: New York, NY
| | |
| 10-02889 | 12/09/2010 | Claimant(s): Juliet Baruch
Claimant Lawyers(s): Anne Ho
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth E. Moum
Arbitrator(s): Lise Gabrielle Hunter
Hearing Site: New York, NY
|  | $0 |
| 10-02038 | 12/08/2010 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Christopher G. Massey
Respondent(s): Ryan Aldridge
Respondent Lawyers(s): Ryan William Aldridge
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | |
| 10-02013 | 12/07/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): Mark Lee
Respondent Lawyers(s): Oscar Schachter
Arbitrator(s): Lincoln W. Craighead
Hearing Site: New York, NY
| | |
| 09-04937 | 12/06/2010 | Claimant(s): Ken Yokel, Robert B. Yokel Charitable Lead Trust, Yokel Charitable Lead Annuity Trust
Claimant Lawyers(s): Hayward Richard Pressman
Respondent(s): David Shelton
Respondent Lawyers(s): David Stanley Shelton
Arbitrator(s): Leona Beane, James D. Muir, Stephen Martin Friedberg
Hearing Site: New York, NY
| | $601,665 |
| 09-02849 | 12/03/2010 | Claimant(s): Douglas Bryant, Fabrice Haddad
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): The Royal Bank of Scotland, RBS Greenwich Capital
Respondent Lawyers(s): Keith A. Markel
Arbitrator(s): Madelon M. Rosenfeld, Jeffrey I. Kahn, Peter A. Seibel
Hearing Site: New York, NY
| | |
| 10-02399 | 12/03/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julian W. Wells
Respondent(s): Richard Griffler
Respondent Lawyers(s): Richard Elliot Griffler
Arbitrator(s): Howard Breindel
Hearing Site: New York, NY
| | |
| 09-01976 | 12/03/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Anthony Marchese, Carolyn A. Mann, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | $2,428,030 |
| 09-02630 | 12/02/2010 | Claimant(s): James Dunning
Claimant Lawyers(s): Jon Paul Robbins
Respondent(s): Brian Hirsch, Martin Shafiroff, Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Joel P. Mellis, Abigail J. Pessen, Stephen J. Patti
Hearing Site: New York, NY
| | $0 |
| 10-01909 | 12/01/2010 | Claimant(s): James Harrington
Claimant Lawyers(s): James E Harrington
Respondent(s): Securities America.
Respondent Lawyers(s): Kelly R. Davis
Arbitrator(s): Madelyn A. Levy, David J. Pine, Lori H. Carena
Hearing Site: New York, NY
| | $0 |
