| 06-04643 | 08/26/2010 | Claimant(s): Edward Rubin, John Borer, Michael Vasinkevich, Wesley Clark, Rodman & Renshaw.
Claimant Lawyers(s): Natalie Shkolnik
Respondent(s): Matthew Murray
Respondent Lawyers(s): David J. Katz
Arbitrator(s): Romaine L. Gardner, Andrew E. Reegen, Aaron Friedman
Hearing Site: New York, NY
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| 08-02649 | 08/25/2010 | Claimant(s): Rosenow I Limited Partnership
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Elizabeth Gilbert, Michael Jaffe, Linda B. Meltzer
Hearing Site: New York, NY
|  | $0 |
| 09-03237 | 08/24/2010 | Claimant(s): Hilary Shane
Claimant Lawyers(s): Richard M. Asche
Respondent(s): First New York Securities L.L.C.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jacob Aschkenasy, James S. Hazard, Randolph Guggenheimer
Hearing Site: New York, NY
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| 09-07050 | 08/24/2010 | Claimant(s): Yvonne Bass
Claimant Lawyers(s): Yvonne Harris Bass
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming Wolfe
Arbitrator(s): Michael E. Curan
Hearing Site: New York, NY
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| 09-01011 | 08/24/2010 | Claimant(s): Sandy Lerner
Claimant Lawyers(s): Louis F. Burke
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Carol E. Weir, David J. Pine, Alfred H. Kingon
Hearing Site: New York, NY
| | $0 |
| 09-05967 | 08/24/2010 | Claimant(s): Henry Hanau, HFN Planning.
Claimant Lawyers(s): Henry Fred Hanau
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Alun Hywel Jones
Hearing Site: New York, NY
| | $0 |
| 09-04222 | 08/16/2010 | Claimant(s): Michelle Brilliant, Robert Hougie
Claimant Lawyers(s): David B. Gordon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Rebecca A. Novak, Judith E. Gross, Eva H. Posman
Hearing Site: New York, NY
| | $0 |
| 09-06800 | 08/12/2010 | Claimant(s): Frank Altomaro
Claimant Lawyers(s): Frank Altomaro
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Amy Gare
Arbitrator(s): Daniel Robbins, Steven David Leader, Ralph A. DeSena
Hearing Site: New York, NY
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| 08-02792 | 08/11/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Deborah Dickstein
Respondent(s): Bruce Gropper, Morton Gropper
Respondent Lawyers(s): Bradford M. Gucciardo
Arbitrator(s): Domitilia M. dos Santos, Antonio Concepcion, John Murray Carroll
Hearing Site: New York, NY
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| 09-04856 | 08/06/2010 | Claimant(s): Invest Financial Corporation
Claimant Lawyers(s): Luigi Spadafora
Respondent(s): William Banks
Respondent Lawyers(s): William M. Banks
Arbitrator(s): Doris Lindbergh
Hearing Site: New York, NY
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