| 08-03207 | 01/13/2010 | Claimant(s): Fordham Financial Management.
Claimant Lawyers(s): Brian Neville
Respondent(s): John Alejos
Respondent Lawyers(s): Juan C. Alejos
Arbitrator(s): Daniel B. Berkson, John P. Bevilacqua, Arthur D. Felsenfeld
Hearing Site: New York, NY
| | |
| 08-04756 | 01/06/2010 | Claimant(s): Ian Fay
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): BNP Paribas, BNP Paribas Securities Corp.
Respondent Lawyers(s): Richard J. Reibstein
Arbitrator(s): Lise Gabrielle Hunter, W. Jeffrey Weinlandt, Abigail J. Pessen
Hearing Site: New York, NY
| | |
| 08-03001 | 01/05/2010 | Claimant(s): Jarod Winters
Claimant Lawyers(s): David Kleinmann
Respondent(s): Barclays Capital.
Respondent Lawyers(s): John F. Fullerton
Arbitrator(s): Larry A. Kimmel, Keely D. Parr, John G. Kennedy
Hearing Site: New York, NY
| | |
| 08-03828 | 01/05/2010 | Claimant(s): Brenda Benoit
Claimant Lawyers(s): Jacob Zamansky
Respondent(s): J.P. Morgan Securities., John Spohler
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Daniel J. McCarthy, Steven M. Bloom, David Marcus
Hearing Site: New York, NY
|  | $0 |
| 08-01792 | 12/31/2009 | Claimant(s): Barbara Tichner
Claimant Lawyers(s): Ruthann G. Niosi
Respondent(s): Barnett Chepenik, Jason Chepenik, Chepenik Financial, Lincoln Financial Advisors Corp., NRP Financial.
Respondent Lawyers(s): Luigi Spadafora, Peter J. Biging, Sam Edgerton
Arbitrator(s): Jack Friedman, William E.S. Browning, Ira M. Ross
Hearing Site: New York, NY
| | Settlement |
| 08-04352 | 12/30/2009 | Claimant(s): Sidney Lieberman IRA
Claimant Lawyers(s): Sara F. Lieberman
Respondent(s): Lyle Flaugher, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katherine M. McGrail
Arbitrator(s): Robert I. Adler, Bernard A. Friedman, Irene C. Warshauer
Hearing Site: New York, NY
| | $0 |
| 09-00742 | 12/30/2009 | Claimant(s): Barbara Russo, Daniel Russo
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Wachovia Securities, Michael Greene
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Larry Kars, Arthur Best, Sharon A. McCloskey
Hearing Site: New York, NY
| | $0 |
| 08-03101 | 12/29/2009 | Claimant(s): Jean Powell
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Norair Seferian, Peter Marzo, GunnAllen Financial.
Respondent Lawyers(s): Jay Marc Israel, Norair Allain Seferian, Timothy Feil
Arbitrator(s): Joan M. Traub, Christine Costigan, Michele S. Riley
Hearing Site: New York, NY
| | Expungement |
| 09-04070 | 12/29/2009 | Claimant(s): Manual Millan
Claimant Lawyers(s): Manual Millan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Howard Breindel
Hearing Site: New York, NY
| | $17,451 |
| 08-02529 | 12/29/2009 | Claimant(s): Andrew Walzer
Claimant Lawyers(s): Andrew I. Walzer
Respondent(s): Gerard Koske, Muriel Siebert & Co.., Muriel Siebert, National Financial Services LLC
Respondent Lawyers(s): Hiram D. Gordon, Michael G. Shannon
Arbitrator(s): Michael H. DuBoff, Marguerite B. Filson, Michael L. Moran
Hearing Site: New York, NY
| | $0 |
