| 08-04585 | 08/06/2009 | Claimant(s): Harold Kozupsky, Jeanette Kozupsky, Harold and Jeanette Kozupsky, IRA, Harold Kozupsky and Jeanette Kozupsky
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): George Gladman, Ronald Slevin, RBC Dain Raucher
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): John F. Duane, Alvin Green, James D. Yellen
Hearing Site: New York, NY
|  | Stipulated Award and Expungement |
| 08-04271 | 08/05/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Steven G. Leventhal
Respondent(s): Marvin Wolfman
Respondent Lawyers(s): Marvin I. Wolfman
Arbitrator(s): Linda Ashley
Hearing Site: New York, NY
| | $0 |
| 09-00888 | 08/04/2009 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Marion J. Vomhof
Respondent(s): Anthony Troia
Respondent Lawyers(s): Anthony Charles Troia
Arbitrator(s): Eric J. Sussman
Hearing Site: New York, NY
| | |
| 06-03133 | 08/03/2009 | Claimant(s): Ronald Marks
Claimant Lawyers(s): Walter D'Ull
Respondent(s): MBSC Securities Corporation
Respondent Lawyers(s): Ronald Shingh
Arbitrator(s): Richard D. Gueren, Allan E. Johnson, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | $0 |
| 08-04188 | 07/31/2009 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Carlos Martinez
Respondent Lawyers(s): Carlos Alberto Martinez
Arbitrator(s): Cheryl Feldman, Martin H. Zern, Adelfa Ann Lugo
Hearing Site: New York, NY
| | |
| 08-01045 | 07/29/2009 | Claimant(s): James Ritter, Maxim Growth Fund LP
Claimant Lawyers(s): James D. Ritter
Respondent(s): Wachovia Securities Financial Network, Eric Lyon, John Black
Respondent Lawyers(s): Marc J. Ross
Arbitrator(s): Arnold Wagner, Joseph W. Lodato, Anthony Michael Sabino
Hearing Site: New York, NY
| | $0 |
| 08-01224 | 07/29/2009 | Claimant(s): Victoria Kaufman
Claimant Lawyers(s): Stanislaus S. Mroczkowski
Respondent(s): UBS Financial Services Inc., Scott Rose
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jeffrey Steinberg, Abraham Harry Bunis, Stephen L. Lister
Hearing Site: New York, NY
| | $0 |
| 08-03752 | 07/23/2009 | Claimant(s): David Friedman
Claimant Lawyers(s): David Friedman
Respondent(s): MBSC Securities Corporation
Respondent Lawyers(s): Christopher R. Travis
Arbitrator(s): Donald Ferguson
Hearing Site: New York, NY
| | $0 |
| 07-03351 | 07/22/2009 | Claimant(s): D.B. Toy Products., Marilyn Brechener TTEE Gertrude Sussel
Claimant Lawyers(s): Sidney A. Weisberg
Respondent(s): Patrick Rathje, Sky Capital LLC
Respondent Lawyers(s): Fran Duffy, Patrick Rathje
Arbitrator(s): Lori H. Carena, Alun Hywel Jones, Daniel J. Cristofano
Hearing Site: New York, NY
| | $0 |
| 09-01271 | 07/21/2009 | Claimant(s): Gilbert Meem, Knight Meem
Claimant Lawyers(s): Howard Meyers
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Martin L. Feinberg
Hearing Site: New York, NY
| | $213 |
