| 09-04566 | 06/25/2010 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Burlington
Respondent(s): Bruce Katz
Respondent Lawyers(s): Bruce Benjamin Katz
Arbitrator(s): Melvyn L. Klusky, Cheryl Feldman, Jean C. Black
Hearing Site: New York, NY
| | |
| 10-00588 | 06/25/2010 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Thomas Boan
Respondent Lawyers(s): Thomas M. Boan
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | |
| 08-00873 | 06/24/2010 | Claimant(s): Zain Abdullah
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Calyon Securities (USA) Inc
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Howard Breindel, Mark Mendley, Mark J. Happe
Hearing Site: New York, NY
| | |
| 09-03629 | 06/24/2010 | Claimant(s): Lloyd Dotson, Robert Wood
Claimant Lawyers(s): Richard Slavin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi
Arbitrator(s): Denzil J. Klippel, David A. Schwarz, Gerald L. Fingerhut
Hearing Site: New York, NY
| | |
| 08-01763 | 06/24/2010 | Claimant(s): The Official Unsecured Creditors's
Claimant Lawyers(s): John G. Rich
Respondent(s): Goldman Sachs Execution & Clearing, L.P., Spear Leeds & Kellogg
Respondent Lawyers(s): Eric A. Bensky
Arbitrator(s): Lucas A. Ferrara, Joseph F. Grassi, Vincent Cannaliato
Hearing Site: New York, NY
|  | $20,580,500 |
| 09-02400 | 06/24/2010 | Claimant(s): Michael Jacobs, Michael Jacobs Custod. for Julie Jacobs, Michael Jacobs Custodian Jeffery Jacobs, Diane Jacobs Disclaimer Trust
Claimant Lawyers(s): Alan L Frank
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy Bard
Arbitrator(s): Mitchell S. Friedman, Richard Gee, Andrew Shearman Benjamin
Hearing Site: New York, NY
| | $0 |
| 09-02635 | 06/18/2010 | Claimant(s): Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Thomas B. Kinzler
Respondent(s): Citigroup Global Markets., Citigroup Global Markets, Ltd.
Respondent Lawyers(s): Susan J. Steinthal
Arbitrator(s): Richard S. Peskin, William C. Struyk, Richard J. McLynn
Hearing Site: New York, NY
| | |
| 10-01071 | 06/18/2010 | Claimant(s): Diana Ricketti
Claimant Lawyers(s): Sheree Donath
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Mary Costa
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
| | |
| 07-03428 | 06/18/2010 | Claimant(s): Juan Sanchez, Luz Sanchez, Norlly Andrea, Ruth Velasquez
Claimant Lawyers(s): William Paul Nolan
Respondent(s): George Malagon, Joseph Lanaro, Kyle Rowe
Respondent Lawyers(s): George Honorato Malagon, Joseph Nicholas Lanaro, Kyle Browning Rowe
Arbitrator(s): Kenneth M. Felder
Hearing Site: New York, NY
| | $117,574 |
| 08-03300 | 06/18/2010 | Claimant(s): Richard Jedwab and Marilyn Jedwab
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): Fred L. Simon, Ellyn S. Roth, Jeffrey P. Halperin
Hearing Site: New York, NY
| | $0 |
