| 08-04144 | 10/06/2010 | Claimant(s): Ann Myers
Claimant Lawyers(s): Wayne E. Batcheler
Respondent(s): Alan Knisley, Wachovia Securities, Edward Mercier
Respondent Lawyers(s): Alan S. Rafterman, Angela A. Turiano
Arbitrator(s): Annette B. Meyers, Michelle Jacobowitz Gallagher, Judith C. Greene
Hearing Site: New York, NY
|  | $0 |
| 10-01236 | 09/30/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Thomas Vertin
Respondent Lawyers(s): Thomas Brian Vertin
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 09-02318 | 09/30/2010 | Claimant(s): Joyce Yabkow
Claimant Lawyers(s): Michael B. Specht
Respondent(s): Citigroup Global Markets., William Burns
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Robert Manfredo, Evonne W.J. Tolbert, Martin H. Zern
Hearing Site: New York, NY
| | Expungement |
| 09-04885 | 09/30/2010 | Claimant(s): Robert Finkelstein
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $30,000 |
| 09-05858 | 09/30/2010 | Claimant(s): Susan Hamovitch
Claimant Lawyers(s): Susan Hamovitch
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Peter Inserra
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | $0 |
| 09-06159 | 09/30/2010 | Claimant(s): Eric Friedlander
Claimant Lawyers(s): David E. Robbins
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Julita Kargol
Arbitrator(s): Richard W. Cutler, Jettie K. Thomas, Milton M. Stein
Hearing Site: New York, NY
| | $0 |
| 07-02482 | 09/28/2010 | Claimant(s): Christina Keller
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Patricia Hoenings
Respondent Lawyers(s): Patricia Hoenings
Arbitrator(s): Catherine Ladnier, Charles S. Guggenheimer, Bernard Korman
Hearing Site: New York, NY
| | Expungement |
| 10-00370 | 09/23/2010 | Claimant(s): Christopher Driscoll
Claimant Lawyers(s): Christopher Driscoll
Respondent(s): Granite Associates, Joseph Stevens & Co..
Respondent Lawyers(s): Giovanni Migliaccio, Joseph Sorbara
Arbitrator(s): Jeffrey G. Sommers
Hearing Site: New York, NY
| | |
| 08-01373 | 09/22/2010 | Claimant(s): Obsidian Financial Group
Claimant Lawyers(s): Brian Reis
Respondent(s): Vincent Bentivegna
Respondent Lawyers(s): Vincent Dominic Bentivegna
Arbitrator(s): Peter A. Goldman, Daniel Robbins, Martin J. Malia
Hearing Site: New York, NY
| | |
| 09-06625 | 09/21/2010 | Claimant(s): John Conroy, Kevin Brennan
Claimant Lawyers(s): John Conroy, Kevin Brennan
Respondent(s): James Maurer
Respondent Lawyers(s): James W. Maurer
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
