| 09-00356 | 07/16/2009 | Claimant(s): Robert Kelly
Claimant Lawyers(s): Robert J Kelly
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Lori Pennay
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
| | |
| 05-03988 | 07/16/2009 | Claimant(s): Sulna Development Company N.V.
Claimant Lawyers(s): Dona Szak
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): David Picon
Arbitrator(s): Denzil J. Klippel, Charles S. Guggenheimer, Charles L. Henderson
Hearing Site: New York, NY
|  | $0 |
| 08-04020 | 07/10/2009 | Claimant(s): James Manfredonia
Claimant Lawyers(s): Brian S. Kaplan
Respondent(s): Ernest Dahlman, Simon Rose, Dahlman Rose & Company
Respondent Lawyers(s): Errol F. Margolin
Arbitrator(s): William E. Smith, Abraham Harry Bunis, Walter W. Jensen
Hearing Site: New York, NY
| | |
| 09-00736 | 07/10/2009 | Claimant(s): EKN Financial Services.
Claimant Lawyers(s): Anthony Ottimo
Respondent(s): Scott Shapiro
Respondent Lawyers(s): Scott Allan Shapiro
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | |
| 06-01063 | 07/10/2009 | Claimant(s): Louis Rosenwein, Meredith Rosenwein, TTEE f/b/o Robert
Claimant Lawyers(s): R. Jeffrey More
Respondent(s): Ralph Esposito, Janney Montgomery Scott LLC
Respondent Lawyers(s): Lionel G. Hest
Arbitrator(s): Orestes J. Mihaly, Paul Weinberg, James M Coakley
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 08-01032 | 07/09/2009 | Claimant(s): Jan Stahl
Claimant Lawyers(s): Jan Stahl
Respondent(s): Ralph Johnson
Respondent Lawyers(s): Ralph Johnson
Arbitrator(s): Saul Scheier
Hearing Site: New York, NY
| | $15,500 |
| 08-03852 | 07/08/2009 | Claimant(s): Peter Dunne
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Aura Financial Services.
Respondent Lawyers(s): Leon Baer Borstein
Arbitrator(s): Richard W. Cutler, James S. Goddard, Gerald H. Grayson
Hearing Site: New York, NY
| | |
| 09-00367 | 07/08/2009 | Claimant(s): Alan Gelband Co. Def. Contr. Pension Pla
Claimant Lawyers(s): Alan Gelband
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Edward G. Toptani
Hearing Site: New York, NY
| | $213 |
| 08-00319 | 07/06/2009 | Claimant(s): Christian Martin
Claimant Lawyers(s): Gregory Vidler
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Mark A. Nebrig
Arbitrator(s): Mary L. Merkle, Sandra J. Mullings, Richard Lee Mansdoerfer
Hearing Site: New York, NY
| | |
| 08-03083 | 07/02/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Jeremy Wisniewski
Respondent Lawyers(s): Jeremy Anthony Wisniewski
Arbitrator(s): Linda R. Alpert, Joseph N. Stineman, Eric J. Sussman
Hearing Site: New York, NY
| | |
