| 07-00680 | 12/10/2009 | Claimant(s): Kevin LeBlanc, Robert Berg
Claimant Lawyers(s): Jim L. Batson
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Robert L. Nisely, Christine Moore, Keith Eric Bettencourt
Hearing Site: New York, NY
| | |
| 09-00067 | 12/10/2009 | Claimant(s): George Rumelt
Claimant Lawyers(s): George L. Rumelt
Respondent(s): David Lerner Associates., John Fielding
Respondent Lawyers(s): Joseph C. Pickard
Arbitrator(s): Richard A. Jacobs
Hearing Site: New York, NY
|  | $10,000 |
| 09-03029 | 12/09/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Joseph Morrow
Respondent Lawyers(s): Joseph H. Morrow
Arbitrator(s): Paul K. Barenholtz
Hearing Site: New York, NY
| | |
| 09-03263 | 12/09/2009 | Claimant(s): Jefferies & Company.
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): John Coen
Respondent Lawyers(s): John Paul Coen
Arbitrator(s): Irwin Kahn, Lewis B. Insler
Hearing Site: New York, NY
| | |
| 08-05023 | 12/09/2009 | Claimant(s): Jonathan Mandell and Margaret Mandell
Claimant Lawyers(s): Richard G. Menaker
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Catherine Ladnier, Susan C. Lushing, Peter A. Goldman
Hearing Site: New York, NY
| | $0 |
| 09-00553 | 12/09/2009 | Claimant(s): MF Global Inc.
Claimant Lawyers(s): Philip Tanzar
Respondent(s): Jelle Terpstra, Jelle Terpstra Beheer BV
Respondent Lawyers(s): Jelle Terpstra
Arbitrator(s): Lise Gabrielle Hunter, Ronnie Steinkoler, Lilian M. Leong
Hearing Site: New York, NY
| | $0 |
| 09-00559 | 12/09/2009 | Claimant(s): MF Global.
Claimant Lawyers(s): Philip Tanzar
Respondent(s): Jelle Terpstra, Jelle Terpstra Beheer BV
Respondent Lawyers(s): Jelle Terpstra
Arbitrator(s):
Hearing Site: New York, NY
| | $0 |
| 09-03220 | 12/09/2009 | Claimant(s): Jackal Properties LTD, Laurie & Co., Yorsipp Trustees Limited Trust FBO Alan
Claimant Lawyers(s): Kirk G. Smith
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Camille S. Cooper, Clarence Smith, Dominick T. Scianandre
Hearing Site: New York, NY
| | $0 |
| 09-03337 | 12/08/2009 | Claimant(s): Mary Herzig
Claimant Lawyers(s): Mary Herzig
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Howard Breindel
Hearing Site: New York, NY
| | $690 |
| 08-04142 | 12/02/2009 | Claimant(s): Guya Rai
Claimant Lawyers(s): Noah A. Kinigstein
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Eliza A. Kaiser
Arbitrator(s): John N. Polakas, Aaron Tyk, William H. Morley
Hearing Site: New York, NY
| | |
