| 09-05060 | 11/04/2010 | Claimant(s): Syed Haider
Claimant Lawyers(s): Mark J. Astarita
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Vicki Z. Holleman, Michael E. Olney, Paul R. Walsh
Hearing Site: New York, NY
| | |
| 09-05533 | 11/04/2010 | Claimant(s): Thomas Vandeventer
Claimant Lawyers(s): James A. Bradley
Respondent(s): Clearbridge Advisors, Legg Mason Investor Services
Respondent Lawyers(s): Dana N. Pescosolido
Arbitrator(s): Romaine L. Gardner, Martin Hunger, Nancy Kramer
Hearing Site: New York, NY
| | |
| 09-05972 | 11/04/2010 | Claimant(s): Ronald Chernesky
Claimant Lawyers(s): Anthony J. Hom
Respondent(s): David Choi
Respondent Lawyers(s): David Choi
Arbitrator(s): Hugh N. Fryer
Hearing Site: New York, NY
| | |
| 09-06534 | 11/04/2010 | Claimant(s): Carolyn Smith
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): Wells Fargo Advisors, Viviana Santiago
Respondent Lawyers(s): Erin M. Burke
Arbitrator(s): Diane Getzler
Hearing Site: New York, NY
|  | $20,000 |
| 10-01910 | 11/04/2010 | Claimant(s): J. Kenneth Wilkens IRA
Claimant Lawyers(s): J. Kenneth Wilkens
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | $0 |
| 09-04668 | 11/03/2010 | Claimant(s): Anthony Cronin, Dusan Nogulovic
Claimant Lawyers(s): James M. Griffin
Respondent(s): Dresdner Kleinwort Securities LLC
Respondent Lawyers(s): Diana Constantino Gomprecht
Arbitrator(s): Margaret M McQueeney, David S. Billet, Francis J. LaSalla
Hearing Site: New York, NY
| | |
| 08-04357 | 11/03/2010 | Claimant(s): Steven Edelson and Ellen Edelson
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Kenneth Diamond, Cecilia B. Loving, Thomas D. Giordano
Hearing Site: New York, NY
| | $529,688 |
| 09-03015 | 11/03/2010 | Claimant(s): Josephine Pignato
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Capital One Investment Services Corp
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | $73,281 |
| 09-05154 | 11/03/2010 | Claimant(s): 414 LLC, 515 LLC
Claimant Lawyers(s): Michael M Steinmetz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Denzil J. Klippel, W. Jeffrey Weinlandt, Robert E. Anderson
Hearing Site: New York, NY
| | $0 |
| 09-07175 | 11/01/2010 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Howard R. Elisofon
Respondent(s): Kathleen Camarda, Vincent Camarda
Respondent Lawyers(s): Martin Kaplan
Arbitrator(s): Eric P. Nachman, Richard Weinberger, Stephen J. Patti
Hearing Site: New York, NY
| | |
