| 09-02803 | 11/11/2009 | Claimant(s): Max International Broker/dealer Corp.
Claimant Lawyers(s): David Isolano
Respondent(s): Moulero Zossou
Respondent Lawyers(s): Moulero Uh Zossou
Arbitrator(s): Anthony Michael Sabino
Hearing Site: New York, NY
| | |
| 09-01320 | 11/05/2009 | Claimant(s): The Benward Family Trust DTD 1/17/2000
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Rebecca L. Burnaugh
Arbitrator(s): Daniel Robbins
Hearing Site: New York, NY
|  | $25,425 |
| 07-03536 | 11/04/2009 | Claimant(s): Michael Lewis
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Nordic Partners.
Respondent Lawyers(s): Joseph Sullivan
Arbitrator(s): Veera V. Konka, Preston V. Pumphrey, Howard Weitz
Hearing Site: New York, NY
| | |
| 09-00618 | 11/04/2009 | Claimant(s): Joseph Mattia
Claimant Lawyers(s): Adam D. Mitzner
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patricia A. Tsipras
Arbitrator(s): Thomas Caiaffa, Kenneth Diamond, Abigail J. Pessen
Hearing Site: New York, NY
| | |
| 09-01505 | 11/04/2009 | Claimant(s): EKN Financial Services Inc.
Claimant Lawyers(s): Thomas Giugliano
Respondent(s): Shahriar Sabi
Respondent Lawyers(s): Barry Temkin
Arbitrator(s): Martin Mushkin
Hearing Site: New York, NY
| | |
| 09-01122 | 11/04/2009 | Claimant(s): American Stone.
Claimant Lawyers(s): Jennifer M. Jordan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Daniel B. Berkson, Jeanne C. Miller, Joel P. Mellis
Hearing Site: New York, NY
| | $0 |
| 09-03049 | 11/02/2009 | Claimant(s): Edward Jones
Claimant Lawyers(s): Paul Yarns
Respondent(s): Treavor Mosbaugh
Respondent Lawyers(s): Treavor James Mosbaugh
Arbitrator(s): Burton M. Fendelman
Hearing Site: New York, NY
| | |
| 09-00366 | 10/30/2009 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Timothy Cox
Respondent Lawyers(s): Timothy Joseph Cox
Arbitrator(s): Donald J. Rasweiler, Sherri L. Hughes, Paul Giappone
Hearing Site: New York, NY
| | |
| 09-01013 | 10/30/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Adam Lazarus
Respondent Lawyers(s): Adam Robert Lazarus
Arbitrator(s): John B. Morgan
Hearing Site: New York, NY
| | |
| 08-03293 | 10/30/2009 | Claimant(s): Gail Pasternack
Claimant Lawyers(s): Adam J. Gana
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Joseph F. Kelley, Mitchell Jay Bayer, Sam Antar
Hearing Site: New York, NY
| | $67,000 |
