| 07-02345 | 01/22/2009 | Claimant(s): Continental Broker-Dealer Corp. by Ric
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): Edward Schlitzer, George Calleia, Patricia Jamison, Wexford Clearing Services
Respondent Lawyers(s): George Calleia, John R. Braatz
Arbitrator(s): Andrew D. Hudders, Robert Pincus, Richard E. Lerner
Hearing Site: New York, NY
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| 08-02268 | 01/21/2009 | Claimant(s): Esther Hutterer
Claimant Lawyers(s): Esther Hutterer
Respondent(s): Frank Quartararo
Respondent Lawyers(s): Frank Anthony Quartararo
Arbitrator(s): Marilyn J. Salzman
Hearing Site: New York, NY
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| 07-03626 | 01/20/2009 | Claimant(s): David Lobato
Claimant Lawyers(s): David Lobato
Respondent(s): Scottrade.
Respondent Lawyers(s): Thomas L. Azar
Arbitrator(s): Martin Domb
Hearing Site: New York, NY
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| 05-06051 | 01/16/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Sean Daly
Respondent Lawyers(s): Sean M. Daly
Arbitrator(s): Linda S. Cole, Joshua Mark Zucker, Renee La Verne Ross CFP
Hearing Site: New York, NY
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| 08-00006 | 01/16/2009 | Claimant(s): Craig Shere
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Calyon Securities (USA) Inc.
Respondent Lawyers(s): Tracey Tiska
Arbitrator(s): Earl S. Schwarz, Martin L. Feinberg, Joseph I. Liebman
Hearing Site: New York, NY
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| 08-00660 | 01/16/2009 | Claimant(s): Robert Cohen
Claimant Lawyers(s): Anthony Carabba
Respondent(s): James Bovino, Trinity Trading Corp.
Respondent Lawyers(s): George A. Sirignano
Arbitrator(s): Rebecca A. Novak, Nancy Plesser Wendell, Ira L. Blankstein
Hearing Site: New York, NY
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| 08-01821 | 01/16/2009 | Claimant(s): William Assatly
Claimant Lawyers(s): William Assatly
Respondent(s): The Vertical Group
Respondent Lawyers(s): Robert Schaffer
Arbitrator(s): David Hirschberg, David E. Robbins, Julian F. Santos
Hearing Site: New York, NY
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| 08-00359 | 01/13/2009 | Claimant(s): Zeus Securities.
Claimant Lawyers(s): Marc S. Gottlieb
Respondent(s): RBC Dain Correspondence Services
Respondent Lawyers(s): Carolyn Guy
Arbitrator(s): Paul A. Merolla
Hearing Site: New York, NY
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| 08-01098 | 01/02/2009 | Claimant(s): George Grafas
Claimant Lawyers(s): Charles Von Simson
Respondent(s): Whitaker Securities LLC
Respondent Lawyers(s): Scott D. Stechman
Arbitrator(s): Judith E. Gross, Alvin Green, Renee S. Rothschild
Hearing Site: New York, NY
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| 08-01561 | 01/02/2009 | Claimant(s): Camille Parrella
Claimant Lawyers(s): Karen J. Van Ingen
Respondent(s): Stifel, Nicolaus & Co.., John Gallagher, Ryan Beck & Co., Stifel Financial Corp.
Respondent Lawyers(s): Joseph C. Rosa
Arbitrator(s): Aaron Tyk
Hearing Site: New York, NY
| | $0 |
