| 07-03418 | 07/01/2009 | Claimant(s): Robert Knox
Claimant Lawyers(s): Craig H. Howe
Respondent(s): Zions Bancorporation., Zions Direct., Zions First National Bank
Respondent Lawyers(s): J. Benjamin King, Richard Janvey
Arbitrator(s): William A. Hohauser, John J. Duval, Henry C. Malon
Hearing Site: New York, NY
| | |
| 07-03530 | 07/01/2009 | Claimant(s): Leon Farber
Claimant Lawyers(s): Stuart Meissner
Respondent(s): Barry Kornfeld
Respondent Lawyers(s): Barry M. Kornfeld
Arbitrator(s): Carolyn A. Mann, Jettie K. Thomas, Mark J. Happe
Hearing Site: New York, NY
|  | Stipulated Award and Expungement |
| 08-03205 | 06/30/2009 | Claimant(s): Jaime Diaz, Worldwide Wealth Management Corp.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Kenneth Thom
Respondent Lawyers(s): Kenneth Thom
Arbitrator(s): David Denison
Hearing Site: New York, NY
| | |
| 08-00086 | 06/30/2009 | Claimant(s): Peter Ramos and Karen Ramos
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Genworth Financial Securities Corporatio
Respondent Lawyers(s): Richard D. De Vita
Arbitrator(s): Alan Shaw, Philip Rachmelowitz, Stephen L. Lister
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 07-02191 | 06/29/2009 | Claimant(s): First Empire Securities.
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): Lawrence Miele
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): J. Julie Jason, Aaron Tyk, Elliot Berman
Hearing Site: New York, NY
| | |
| 08-01521 | 06/26/2009 | Claimant(s): Theodore Kunz
Claimant Lawyers(s): Theodore C Kunz
Respondent(s): Abel/Noser Corp.
Respondent Lawyers(s): David M. Sobel
Arbitrator(s): Jettie K. Thomas, Leona Beane, Nancy S. Gerber
Hearing Site: New York, NY
| | |
| 08-02984 | 06/26/2009 | Claimant(s): Jospeh Gunnar & Co.
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Brent Porges
Respondent Lawyers(s): Brent M. Porges
Arbitrator(s): William E.S. Browning
Hearing Site: New York, NY
| | |
| 08-04887 | 06/23/2009 | Claimant(s): Humberto Gimenez, Humberto Gimenez Corporation
Claimant Lawyers(s): Humberto Gimenez
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): John Montone
Arbitrator(s): Lori H. Carena
Hearing Site: New York, NY
| | $0 |
| 08-03999 | 06/19/2009 | Claimant(s): Louis Basel, Penelope Basel
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Wachovia Securities, Neophytos Ganiaris
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Paul T. Green, Pamela H. Roderick, Judith P. Brooks
Hearing Site: New York, NY
| | $60,000 |
| 08-00441 | 06/17/2009 | Claimant(s): Michael Maloney
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Joseph C. O'Keefe
Arbitrator(s): Joan M. Traub, Alida D. Camp, Donald Raymond McNally
Hearing Site: New York, NY
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