| 06-02076 | 10/09/2009 | Claimant(s): Eugene Ross
Claimant Lawyers(s): Eugene C. Ross
Respondent(s): Bear Stearns & Co..
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Susan C. Lushing, David I. Goldblatt, Thomas A. Abitabile
Hearing Site: New York, NY
| | |
| 09-00886 | 10/07/2009 | Claimant(s): Douglas Lee
Claimant Lawyers(s): Anthony Carabba
Respondent(s): James Bovino, Trinity Trading Corp
Respondent Lawyers(s): Barbara Gettenberg, James Joseph Bovino
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 07-01692 | 10/07/2009 | Claimant(s): Jiann Ming Doong and Angela Wang
Claimant Lawyers(s): Richard Alan Chen
Respondent(s): Morgan Stanley & Co., Thomas Tishman
Respondent Lawyers(s): John L. Castelly
Arbitrator(s): David S. Billet, Cynthia A. DiMarco, Randolph Guggenheimer
Hearing Site: New York, NY
|  | $0 |
| 08-03348 | 10/01/2009 | Claimant(s): Matthew Proman
Claimant Lawyers(s): Randy Scott Zelin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert E. Holley, Frank J. Spencer
Hearing Site: New York, NY
| | $15,925 |
| 09-00766 | 09/30/2009 | Claimant(s): Michael Sprei
Claimant Lawyers(s): Michael Sprei
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $1,473 |
| 09-02524 | 09/29/2009 | Claimant(s): Susan Mohr Gomez
Claimant Lawyers(s): Kenneth V. Gomez
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Robert J. Eide
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 05-00165 | 09/29/2009 | Claimant(s): David Sherman
Claimant Lawyers(s): David E. Sherman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | $0 |
| 09-01785 | 09/29/2009 | Claimant(s): Joseph Rici and Carolyn Ricci
Claimant Lawyers(s): Howard Meyers
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Evan Boucher
Arbitrator(s): Frank Muller
Hearing Site: New York, NY
| | $88 |
| 08-02775 | 09/24/2009 | Claimant(s): Zvi Osterweil
Claimant Lawyers(s): Rebecca C. Davis
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger, Joseph L. Calabrese
Arbitrator(s): Joan M. Traub, Michael Ross, Charles F. Titterton
Hearing Site: New York, NY
| | $40,000 |
| 08-01911 | 09/24/2009 | Claimant(s): Robert Young
Claimant Lawyers(s): Robert C. Young
Respondent(s): Charles Teixeira, John Loughran, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason D. Lane
Arbitrator(s): Earl S. Schwarz, Irene C. Warshauer, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
