| 07-02629 | 04/29/2009 | Claimant(s): GunnAllen Financial.
Claimant Lawyers(s): Williard R. Knox
Respondent(s): Carlos Bonilla, Jaime Diaz
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Margaret M McQueeney, Denise N. Seegobin, Joseph Mark Hubbell
Hearing Site: New York, NY
| | |
| 08-01302 | 04/28/2009 | Claimant(s): American Capital Partners
Claimant Lawyers(s): J. Christopher Albanese
Respondent(s): Jaime Rodriguez
Respondent Lawyers(s): Jaime Rodriguez
Arbitrator(s): Berton Seltzberg
Hearing Site: New York, NY
| | |
| 07-03484 | 04/27/2009 | Claimant(s): Bear, Stearns & Co. LLC
Claimant Lawyers(s): Gene L. Small
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Alain Leibman
Arbitrator(s): Richard D. Chusid, Kinchen C. Bizzell, Farrell C. Glasser
Hearing Site: New York, NY
| | |
| 08-03221 | 04/24/2009 | Claimant(s): Song Sop Choe
Claimant Lawyers(s): Song Sop Choe
Respondent(s): Fordham Financial Management.
Respondent Lawyers(s): Christopher S. Mattei
Arbitrator(s): Marilyn J. Salzman, Alice J. P. Lee-Getman, Arthur Best
Hearing Site: New York, NY
| | |
| 08-00196 | 04/23/2009 | Claimant(s): Joseph Botkier
Claimant Lawyers(s): Bjorn Holubar
Respondent(s): Harold Cohen, Harold Sidel, HKC Securities., Sidel Group
Respondent Lawyers(s): Jeffrey S. Boxer, Steven K. Meier
Arbitrator(s): Alvin Green, Anthony J. Raimondi, David Kramer
Hearing Site: New York, NY
|  | $0 |
| 08-04335 | 04/22/2009 | Claimant(s): Howard Braff
Claimant Lawyers(s): Howard Braff
Respondent(s): Christopher Collins
Respondent Lawyers(s): Christopher Alfredo Collins
Arbitrator(s): Catherine Ladnier
Hearing Site: New York, NY
| | |
| 08-04010 | 04/17/2009 | Claimant(s): Seth D. Rose and Louise Rose
Claimant Lawyers(s): Seth Rose
Respondent(s): John Dolan, UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | $213 |
| 08-01592 | 04/16/2009 | Claimant(s): Albert Vacchiano
Claimant Lawyers(s): Kathleen Peratis
Respondent(s): Amerivest Partners, Bay Crest Partners, Freedom Holding Group
Respondent Lawyers(s): Anthony J. DiOrio
Arbitrator(s): Bruce K. Isenberg, Mae A. Brudner, Kathleen Cawley
Hearing Site: New York, NY
| | |
| 08-02526 | 04/08/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John McGuire
Respondent(s): Joanna Roland
Respondent Lawyers(s): Joanna Roland
Arbitrator(s): Joseph D. Cosgrove
Hearing Site: New York, NY
| | |
| 08-02214 | 04/08/2009 | Claimant(s): Estate of Jack Perry
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Brian F. McDonough
Arbitrator(s): Denzil J. Klippel, Elizabeth Elster Granville, David A. Schwarz
Hearing Site: New York, NY
| | $137,500 |
