| 09-01446 | 04/14/2010 | Claimant(s): Timothy Holt
Claimant Lawyers(s): Michael C. Deutsch
Respondent(s): M. J. Whitman LLC
Respondent Lawyers(s): Jonathan Sack
Arbitrator(s): David E. Robbins, Oliver Wayne Williams, Harold Glenn Stafford
Hearing Site: New York, NY
| | |
| 09-05065 | 04/13/2010 | Claimant(s): Joseph Kelly, May Kelly
Claimant Lawyers(s): Joseph Kelly
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric Glassman
Arbitrator(s): Sam Antar
Hearing Site: New York, NY
|  | $213 |
| 08-04212 | 04/09/2010 | Claimant(s): Janet Marcus, Marcus Kappel & Co. 401K, David Marcus Profit Sharing Plan
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Fred S. Pieroni, Alvin Green, Denise L. Quarles
Hearing Site: New York, NY
| | $490,610 |
| 09-02567 | 04/01/2010 | Claimant(s): Eric May
Claimant Lawyers(s): Robert A. Scher
Respondent(s): Sandgrain Securities.
Respondent Lawyers(s): Christopher R. Travis
Arbitrator(s): Edward Buscemi
Hearing Site: New York, NY
| | |
| 08-02468 | 04/01/2010 | Claimant(s): Ellen Koval
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Louis H. Miron, Marvin L. Schuldiner, Stephen M. Plotnick
Hearing Site: New York, NY
| | $0 |
| 09-02129 | 03/31/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Michael Napolitano
Respondent Lawyers(s): J. Christopher Albanese
Arbitrator(s): Roger J. Hawke, Frank Irizarry, W. Jeffrey Weinlandt
Hearing Site: New York, NY
| | |
| 09-03378 | 03/31/2010 | Claimant(s): Robert Willoughby
Claimant Lawyers(s): Jeffrey Shepro
Respondent(s): Weatherly Securities Corporation
Respondent Lawyers(s): Maria Porcelli
Arbitrator(s): Lise Gabrielle Hunter
Hearing Site: New York, NY
| | |
| 09-05203 | 03/31/2010 | Claimant(s): Timothy Makas
Claimant Lawyers(s): Timothy Makas
Respondent(s): Richard Netter, Senate Securities
Respondent Lawyers(s): Richard M. Netter
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | $0 |
| 09-03448 | 03/30/2010 | Claimant(s): Rita Kaufman
Claimant Lawyers(s): Jill Gross
Respondent(s): Alfred Kelly, Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | $0 |
| 09-03280 | 03/29/2010 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): John Treanor
Respondent Lawyers(s): John Vincent Treanor
Arbitrator(s): Michael P. Golden, Paul K. Barenholtz, Sam P. Terner
Hearing Site: New York, NY
| | |
