| 09-04539 | 07/16/2010 | Claimant(s): Martha Brancato and Vincent Brancato
Claimant Lawyers(s): Martha Brancato
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Alun Hywel Jones
Hearing Site: New York, NY
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| 07-00126 | 07/12/2010 | Claimant(s): Barry Goldenberg
Claimant Lawyers(s): Alisa L. Silverstein
Respondent(s): Richard McVey, MarketAxess Corporation
Respondent Lawyers(s): David A. Picon
Arbitrator(s): Robert A. Vaccaro, Michael Peter Yahr, Edward Peter Ryan
Hearing Site: New York, NY
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| 09-04785 | 07/09/2010 | Claimant(s): Daniel Klein
Claimant Lawyers(s): Christine A. Palmieri
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Susan C. Lushing, Joseph D. Cosgrove, Gregory J. Getz
Hearing Site: New York, NY
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| 08-01128 | 07/08/2010 | Claimant(s): Estate of David Grynberg
Claimant Lawyers(s): Michael Grynberg
Respondent(s): TD Ameritrade., Michael Grynberg
Respondent Lawyers(s): James J. Vihstadt, Michael Grynberg
Arbitrator(s): Rebecca A. Novak, Daniel A. Dolan, Michael S. Lazan
Hearing Site: New York, NY
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| 09-04377 | 07/08/2010 | Claimant(s): Henry Stern, Joyce Greer Stern
Claimant Lawyers(s): Richard M. Zaroff
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): Edward S. Bradley, Lise Gabrielle Hunter, Judith Fields Jurney
Hearing Site: New York, NY
| | $0 |
| 08-01341 | 07/02/2010 | Claimant(s): Stephen Ketchum
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Steven D. Hurd
Arbitrator(s): Allan E. Johnson, Jay L. Zelesnick, Adam B. Lass
Hearing Site: New York, NY
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| 08-01194 | 07/01/2010 | Claimant(s): Trident Partners Ltd
Claimant Lawyers(s): Eugene L. Small
Respondent(s): Brian Schantz, Edward Flynn, Francine Lanaia, Timothy Flynn, Alexander Capital, L.P.
Respondent Lawyers(s): Carl Lanzisera, Eugene L. Small, Francine A. Lanaia
Arbitrator(s): Sandra J. Mullings, Anthony J. Raimondi, Richard C. Bell
Hearing Site: New York, NY
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| 09-01863 | 07/01/2010 | Claimant(s): Joseph Amundsen
Claimant Lawyers(s): Joseph S. Amundsen
Respondent(s): Aaron Gilbert, Daniel Overmyer, Edward Overmyer, Jamie Cawley, Jesse Bookheim, COPS Worldwide., IDX Derivatives, Morton International Corporation
Respondent Lawyers(s): Aaron Gilbert, Compliance Officer, Daniel Overmyer, Edward Overmyer, George Brunelle, Jesse Louis Bookheim
Arbitrator(s): Ernest Fanwick, Joan M. Traub, Paul R. Walsh
Hearing Site: New York, NY
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| 07-00695 | 06/29/2010 | Claimant(s): Dan Breslauer
Claimant Lawyers(s): Tally M. Wiener
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): James J. Fishman, Hugh N. Fryer, Alice Holly Oshins
Hearing Site: New York, NY
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| 09-04408 | 06/28/2010 | Claimant(s): Nicolas Billeaud
Claimant Lawyers(s): Martin F. Gusy
Respondent(s): HSBC Bank USA, N.A., HSBC North America Holdings., HSBC Securities (USA) Inc.
Respondent Lawyers(s): Allan S. Bloom
Arbitrator(s): David N. Brainin, Franklin P. Chapman, Blossom Nicinski
Hearing Site: New York, NY
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