| 10-02239 | 12/01/2010 | Claimant(s): Dorothy Fuchs, Dorothy Fuchs IRA R/O, Dorothy Fuchs ROTH IRA
Claimant Lawyers(s): Steven C. Fuchs
Respondent(s): Richard Caplin
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Dorothy E. Morris
Hearing Site: New York, NY
|  | $213 |
| 09-03452 | 11/30/2010 | Claimant(s): Angelo Luongo, John Giambrone, Kathryn Roda, Marion Luongo
Claimant Lawyers(s): Barry Lax
Respondent(s): Albert Wardi, Anthony Mediate, Carlton Capital Inc., Clayton, Dunning & Company.
Respondent Lawyers(s): David A Schrader, Eric J. Dec
Arbitrator(s): Christina Kallas, Judith P. Brooks, Martin J. Oppenheimer
Hearing Site: New York, NY
| | Stipulated Award |
| 09-07212 | 11/30/2010 | Claimant(s): Lois Santarsiero
Claimant Lawyers(s): Lois M. Santarsiero
Respondent(s): TD Ameritrade., Joshua Kenney, Michael Iannucci, Ryan Lewis
Respondent Lawyers(s): Barry S. Gold
Arbitrator(s): Irene C. Warshauer
Hearing Site: New York, NY
| | $0 |
| 09-04494 | 11/29/2010 | Claimant(s): Peter Derby
Claimant Lawyers(s): Thomas M. Mullaney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Richard Grodin
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): Alan S. Braunshweiger, Lincoln W. Craighead, Annamaria Boccia Smith
Hearing Site: New York, NY
| | $0 |
| 09-01400 | 11/24/2010 | Claimant(s): Kenneth Epstein
Claimant Lawyers(s): Kenneth Robert Epstein
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Michael E. Olney, Barbara J. Glenns, Frank Irizarry
Hearing Site: New York, NY
| | |
| 09-04304 | 11/23/2010 | Claimant(s): Myrna Axelrod
Claimant Lawyers(s): Elizabeth Genn
Respondent(s): Jack Kolker, UBS Financial Services Inc.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Sid Braufman, Martin H. Zern, Donald Raymond McNally
Hearing Site: New York, NY
| | $0 |
| 09-06911 | 11/23/2010 | Claimant(s): Barbara Hunt
Claimant Lawyers(s): Elizabeth Goldman
Respondent(s): Fred Karagosian, NPA Financial Services.
Respondent Lawyers(s): Michael J. Karalewich
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
| 03-09101 | 11/22/2010 | Claimant(s): Redwood Partners, Spectra Financial Group
Claimant Lawyers(s): James M Wines
Respondent(s): CIBC World Markets Corp., CSS
Respondent Lawyers(s): Jennifer Zordani, Lloyd S. Clareman
Arbitrator(s): Judith R. MacDonald, Thomas Caiaffa, Earl S. Schwarz
Hearing Site: New York, NY
| | |
| 09-03613 | 11/22/2010 | Claimant(s): Waterlight International S.A.
Claimant Lawyers(s): Timothy P. Kebbe
Respondent(s): Edward Marx, UBS Financial Services Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Mitchell S. Friedman, Linda S. Cole, Jonathan Honig
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 08-02389 | 11/19/2010 | Claimant(s): Joseph Borkowski
Claimant Lawyers(s): Marc A. Susswein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carole Miller
Arbitrator(s): Boyd H. Scheff, Lincoln W. Craighead, James I. Berliner
Hearing Site: New York, NY
| | |
