| 09-00211 | 05/25/2010 | Claimant(s): Florian Zgunea, Hampshire Trust Ltd.
Claimant Lawyers(s): Florian Calin Zgunea
Respondent(s): Tradestation Securities.
Respondent Lawyers(s): Steven M. Greenbaum
Arbitrator(s): Catherine Ladnier, Martin A. Edelstein, Leona Beane
Hearing Site: New York, NY
|  | $0 |
| 09-06896 | 05/24/2010 | Claimant(s): Edward Gudelinis
Claimant Lawyers(s): Edward M. Gudelinis
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Robert J. Eide
Arbitrator(s): Allan E. Johnson
Hearing Site: New York, NY
| | |
| 09-01757 | 05/24/2010 | Claimant(s): Julie Gerowitz
Claimant Lawyers(s): Charles R. Jacob
Respondent(s): Alan Ulan, Citigroup Global Markets., Michael Lee
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Anthony Marchese, Pamela H. Roderick, David R. Foley
Hearing Site: New York, NY
| | $180,000 |
| 09-06046 | 05/24/2010 | Claimant(s): Mon Chu
Claimant Lawyers(s): Kevin Conway
Respondent(s): A. B. Watley Direct.
Respondent Lawyers(s): Ralph Armenti
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | $25,000 |
| 08-04698 | 05/21/2010 | Claimant(s): Anthony Brown
Claimant Lawyers(s): Shona B. Glink
Respondent(s): Daniel Livingstone, UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth G. Crowley, Kenneth Crowley
Arbitrator(s): Jack Friedman, Alfred H. Kingon, Erica Levitt
Hearing Site: New York, NY
| | $0 |
| 09-02547 | 05/20/2010 | Claimant(s): Ari Bayme
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Milbank Roy Securities
Respondent Lawyers(s): E. Michael Bradley
Arbitrator(s): Sheldon Curtis, Lowell D. Johnston, Abigail J. Pessen
Hearing Site: New York, NY
| | |
| 09-06663 | 05/20/2010 | Claimant(s): Newbridge Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Andres Tobon
Respondent Lawyers(s): Andres F. Tobon
Arbitrator(s): Martin Jay Siegel
Hearing Site: New York, NY
| | |
| 08-04709 | 05/06/2010 | Claimant(s): Roger Gimbel
Claimant Lawyers(s): Arthur M. Handler
Respondent(s): Stephen Degroat, Jesup & Lamont Securities Corp
Respondent Lawyers(s): Michael Kalmus, Todd Zuckerbrod
Arbitrator(s): Susan C. Lushing, John B. Sprung, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 09-01789 | 05/06/2010 | Claimant(s): Robert Palumbo
Claimant Lawyers(s): Robert Palumbo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Robert M. Goldstein, Lori H. Carena, Joan Marie Chiusano
Hearing Site: New York, NY
| | $0 |
| 09-04534 | 04/30/2010 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Erika L. Altman
Respondent(s): Patrick McConnell
Respondent Lawyers(s): Patrick Joseph McConnell
Arbitrator(s): Robert I. Rabinowitz
Hearing Site: New York, NY
| | |
