| 08-01828 | 06/17/2009 | Claimant(s): Peter Tocco
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): Walter J. Dowd.
Respondent Lawyers(s): Daniel C. Callaway
Arbitrator(s): Martin Jay Siegel, Kenneth M. Felder, Robert E. Holley
Hearing Site: New York, NY
| | |
| 08-00362 | 06/15/2009 | Claimant(s): Steven Greenberg, Sylvia Greenberg, William Greenberg
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Capital Growth Financial
Respondent Lawyers(s): Compliance Officer
Arbitrator(s): James M. Baumann, Richard S. Peskin, Martin L. Feinberg
Hearing Site: New York, NY
|  | $825,680 |
| 08-02437 | 06/15/2009 | Claimant(s): Santanu Bhattacharya and Gargi Dasgupta
Claimant Lawyers(s): Kevin M. Shelley
Respondent(s): Mitesh Shere, Chicago Investment Group
Respondent Lawyers(s): Brian Neville, Howard Rosenburg
Arbitrator(s): Charles S. Guggenheimer, Arthur H. Sobel, Terrance J. Nolan
Hearing Site: New York, NY
| | $0 |
| 07-03529 | 06/11/2009 | Claimant(s): Richard Johnston & Clotilda J. Johnston
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Joseph C. Pickard
Arbitrator(s): Alfred H. Kingon
Hearing Site: New York, NY
| | $0 |
| 08-02059 | 06/10/2009 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Thomas J. Cahill
Respondent(s): Brian Radoo, Next Financial Group.
Respondent Lawyers(s): Brian Radoo, Melvin G. Mosley
Arbitrator(s): Marguerite B. Filson, Robert S. Getman, James D. Yellen
Hearing Site: New York, NY
| | |
| 09-00256 | 06/08/2009 | Claimant(s): John Udovich
Claimant Lawyers(s): John J. Udovich
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Ann Pinciss Berman
Hearing Site: New York, NY
| | $0 |
| 08-00653 | 06/04/2009 | Claimant(s): Matthew Eastwick
Claimant Lawyers(s): James A. Batson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ronald Minkoff
Arbitrator(s): Bernard A. Friedman, Leslie Ruth Nydick, Michael J. Contrastano
Hearing Site: New York, NY
| | |
| 08-00732 | 06/04/2009 | Claimant(s): Kurt Lichtman
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): RBS Greenwich Capital
Respondent Lawyers(s): Keith A. Markel
Arbitrator(s): Lionel C. Bandler, Jill I. Gross, Lori Ann Romeo
Hearing Site: New York, NY
| | |
| 07-03394 | 06/04/2009 | Claimant(s): Henry Archer
Claimant Lawyers(s): Henry W. Archer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Sam Antar, Richard D. Levin, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 08-01777 | 06/04/2009 | Claimant(s): Kais Maalej
Claimant Lawyers(s): Kais Maalej
Respondent(s): Scottrade.
Respondent Lawyers(s): Ryan M. Blum
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | $0 |
