| 10-03099 | 10/20/2010 | Claimant(s): Helen Grant and Eugene Grant
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Greg Schaefer, Dillon Scott Securities.
Respondent Lawyers(s): Greg Scott Schaefer, Jack Lubitz
Arbitrator(s): Howard Weitz
Hearing Site: New York, NY
|  | $167,358 |
| 09-04496 | 10/19/2010 | Claimant(s): Maurice Kelly
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Michael J. McAllister, Robert Youdelman, George E. Kroon
Hearing Site: New York, NY
| | $100,000 |
| 09-04980 | 10/18/2010 | Claimant(s): Robert J.A. Zito and Dana Cole
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Charles Albanese, Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Sandra Gale Behrle, Evdokia Sofos, Christine Costigan
Hearing Site: New York, NY
| | $0 |
| 09-02435 | 10/15/2010 | Claimant(s): Seymour L. Goldman, executor of the Esta
Claimant Lawyers(s): Mark D. Risk
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Marilyn J. Salzman, Julian F. Santos, Renee La Verne Ross CFP
Hearing Site: New York, NY
| | $0 |
| 09-05015 | 10/14/2010 | Claimant(s): John Hanson, John J. Hanson, IRA
Claimant Lawyers(s): Charles A. Bennett
Respondent(s): Morgan Stanley & Co., Vikas Mohindra
Respondent Lawyers(s): John L. Castelly, John Castelly
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
| | $4,699 |
| 09-03283 | 10/11/2010 | Claimant(s): Richard Rothaar
Claimant Lawyers(s): David B. Wechsler
Respondent(s): Standard Credit Securities Inc.
Respondent Lawyers(s): Chaim A. Levin
Arbitrator(s): Joseph A. Forgione, Annamaria Boccia Smith, David Serko
Hearing Site: New York, NY
| | |
| 09-03587 | 10/08/2010 | Claimant(s): Thomas Whalen
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Joseph J. Arata, Melvin S. Slade, Joseph Louis Sherman
Hearing Site: New York, NY
| | |
| 09-03681 | 10/08/2010 | Claimant(s): Shanawaz Basith
Claimant Lawyers(s): Catherine E. Anderson
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Frederic L. Lieberman
Arbitrator(s): Marilyn J. Salzman, Peter A. Goldman, Alan Gradzki
Hearing Site: New York, NY
| | |
| 08-04980 | 10/06/2010 | Claimant(s): Timothy Stevens
Claimant Lawyers(s): David I. Greenberger
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): George Sommerfeld, Alex Cohen, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 09-04529 | 10/06/2010 | Claimant(s): Lazard Asset Management LLC, Lazard Asset Management Securities LLC
Claimant Lawyers(s): Jason C. Rubinstein
Respondent(s): Kris Haber
Respondent Lawyers(s): Alan R. Friedman
Arbitrator(s): Donald J. Zoeller, John B. Myers, Michele S. Riley
Hearing Site: New York, NY
| | |
