| 08-04141 | 06/02/2010 | Claimant(s): Andrew Kaye
Claimant Lawyers(s): Michael Grenert
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Michelle Jacobowitz Gallagher, Steven A. Infante, Betty Chen
Hearing Site: New York, NY
| | |
| 09-02255 | 06/02/2010 | Claimant(s): The Maximillian H. Miltzlaff Rev. Trust
Claimant Lawyers(s): Richard J.J. Scarola
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Earl S. Schwarz, Evdokia Sofos, Carolyn A. Mann
Hearing Site: New York, NY
|  | $60,000 |
| 09-04718 | 06/01/2010 | Claimant(s): Brian Behan, Marion Behan
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Marsco Investment Corporation
Respondent Lawyers(s): Steven M. Hecht
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
| | $0 |
| 09-04266 | 05/28/2010 | Claimant(s): Smh Capital Inc.
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): Patricia Bonavito
Respondent Lawyers(s): Patricia Bonavito
Arbitrator(s): Joseph D. Cosgrove, Judith C. Greene, Ronald J. Colombo
Hearing Site: New York, NY
| | |
| 10-00036 | 05/27/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Scott Kurland
Respondent Lawyers(s): Scott Jeffrey Kurland
Arbitrator(s): Ernest Fanwick
Hearing Site: New York, NY
| | |
| 09-01809 | 05/27/2010 | Claimant(s): Charles Wasserman, Edward Wasserman, Michael Hensch
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Advanced Equities.
Respondent Lawyers(s): James D. Wilson
Arbitrator(s): Robert L. Palleschi, George W. Klein, Joseph F. Wagner
Hearing Site: New York, NY
| | Vacated by Circuit Court |
| 09-00005 | 05/27/2010 | Claimant(s): Paulson Investment Company
Claimant Lawyers(s): Marc J. Ross
Respondent(s): Gary Melius, John Donahue, Roger Bahnik
Respondent Lawyers(s): Bryan T. Mohler, Marc J. Ross
Arbitrator(s): Joseph B. Russell, Mary Ellen Burns, Scott W. Mulford
Hearing Site: New York, NY
| | $0 |
| 07-02316 | 05/26/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Steven G. Leventhal
Respondent(s): Azam Baroukhiam
Respondent Lawyers(s): Azam F. Baroukhiam
Arbitrator(s): Aaron Friedman, Martin A. Edelstein, Alan Gradzki
Hearing Site: New York, NY
| | $27,900 |
| 09-01381 | 05/26/2010 | Claimant(s): Guy Girgenti
Claimant Lawyers(s): Guy Girgenti
Respondent(s): Janice Ginsburg, Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Barbara J. Glenns, Madelyn A. Levy, Philip R. Lochner
Hearing Site: New York, NY
| | Expungement |
| 08-01222 | 05/25/2010 | Claimant(s): Gary Mohamed
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Jonathan L. Isreal
Arbitrator(s): Richard W Berenger, Howard Breindel, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | |
