| 08-00978 | 11/19/2010 | Claimant(s): Gregory Doane
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Robert L. Spangler, Anna M. Fanelli, Ellyn S. Roth
Hearing Site: New York, NY
|  | $0 |
| 09-03551 | 11/18/2010 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Mitchell Sloane
Respondent Lawyers(s): Mitchell Harris Sloane
Arbitrator(s): Sandra J. Mullings, Jan Louise Ulman, Joseph M. Buffone
Hearing Site: New York, NY
| | |
| 09-02623 | 11/18/2010 | Claimant(s): Kevin Holloway, Shyamala Holloway
Claimant Lawyers(s): Kevin Holloway
Respondent(s): Kenneth Thom, Kevin Burr
Respondent Lawyers(s): Kenneth Thom, Kevin Richard Burr
Arbitrator(s): James J. Fishman, Kinchen C. Bizzell, Paul Weinberg
Hearing Site: New York, NY
| | $38,902 |
| 09-05172 | 11/16/2010 | Claimant(s): National Financial Services.
Claimant Lawyers(s): Michael G. Shannon
Respondent(s): John Stroud, Stroud Capital Fund, Stroud Capital GP, Stroud Capital Management LLC
Respondent Lawyers(s): David Stroud
Arbitrator(s): Douglas F. Stone, Susan Mills Richmond, Clarence Smith
Hearing Site: New York, NY
| | $0 |
| 09-01735 | 11/16/2010 | Claimant(s): Jacqueline Frost, Est. of John M. Frost by Richard Scheyer
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Michael Kresh, H.D. Vest Investment Services. Inc., Royal Alliance Associates.
Respondent Lawyers(s): Gary S. Kessler, Jonathan C. Thau
Arbitrator(s): Philip M. Mandel, Joel P. Mellis, Peter P. Skomorowsky
Hearing Site: New York, NY
| | $0 |
| 09-07153 | 11/10/2010 | Claimant(s): Peter Skouras
Claimant Lawyers(s): George W. Klein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn L. Dietrich
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
| | $25,425 |
| 10-00125 | 11/09/2010 | Claimant(s): Anna Kazar
Claimant Lawyers(s): Elizabeth Hendricks
Respondent(s): Citigroup Global Markets., John Hochstrasser
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Fred S. Pieroni, Daniel J. McCarthy, Steven A. Infante
Hearing Site: New York, NY
| | $0 |
| 09-01610 | 11/05/2010 | Claimant(s): Kevin Doyle
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Donald Wojnowski, Timothy Moyer, Vlad Uchenik, Empire Financial Group.
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
| | |
| 08-04753 | 11/05/2010 | Claimant(s): The Irina Aronson Irrevocable Trust
Claimant Lawyers(s): Gregg Scott Goodman
Respondent(s): Tod Bretton, Friedman, Schnaier & Associates
Respondent Lawyers(s): Michael P. Gilmore, Tod Bretton
Arbitrator(s): William J. Crowe, Robert M. Goldstein, Wallace Anthony Showman
Hearing Site: New York, NY
| | $175,300 |
| 09-03651 | 11/05/2010 | Claimant(s): Anne Flannery, Francis Flannery
Claimant Lawyers(s): Michael C. Deutsch
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bryan I. Reyhani
Arbitrator(s): Robert Youdelman, Jeffrey F. Friedman, Wayne I. Harris
Hearing Site: New York, NY
| | $0 |
