| 07-03220 | 11/25/2008 | Claimant(s): Janet Drantch
Claimant Lawyers(s): Eric J. Sussman
Respondent(s): Michael Talley, Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Joseph Giovanniello
Arbitrator(s): Daniel B. Berkson, Richard W. Cutler, Gregory J. Getz
Hearing Site: New York, NY
|  | $9,998 |
| 07-03209 | 11/19/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): David Gottlieb
Respondent Lawyers(s): David Gottlieb
Arbitrator(s): Alfred H. Kingon
Hearing Site: New York, NY
| | $0 |
| 05-02827 | 11/17/2008 | Claimant(s): CIBC World Markets Corp.
Claimant Lawyers(s): Matthew L. Mustokoff
Respondent(s): Michael Sassano
Respondent Lawyers(s): Mitchell S. Cohen
Arbitrator(s): Jerome H. Levy, Alice J. P. Lee-Getman, Allen H. Green
Hearing Site: New York, NY
| | |
| 08-00387 | 11/17/2008 | Claimant(s): Alberto Monti
Claimant Lawyers(s): Thomas Fleck
Respondent(s): Max International Broker/Dealer Corp.
Respondent Lawyers(s): David Isolano
Arbitrator(s): Lucas A. Ferrara
Hearing Site: New York, NY
| | $8,255 |
| 05-05422 | 11/14/2008 | Claimant(s): DDIM Holdings, Riverside Holdings, L.L.P.,
Claimant Lawyers(s): William Dahill
Respondent(s): Goldman, Sachs and Company, Sofia Frankel
Respondent Lawyers(s): Michael Dell
Arbitrator(s): Michael Ross, Michael S. Lazan, Doris B. Nathan
Hearing Site: New York, NY
| | $0 |
| 08-01306 | 11/13/2008 | Claimant(s): Lap Chang
Claimant Lawyers(s): Lap F Chang
Respondent(s): HSBS Securities (USA) Inc.
Respondent Lawyers(s): Tracy S. Woodrow
Arbitrator(s): Denzil J. Klippel
Hearing Site: New York, NY
| | $0 |
| 05-05322 | 11/11/2008 | Claimant(s): Ehrenkrantz King Nussbaum
Claimant Lawyers(s): Anthony Ottimo
Respondent(s): Anthony Ottimo, Edward Short, George Tamborello, Robert Ciaccio, Thomas Giugliano, Thomas O'Neill, Empire Financial Group Inc.
Respondent Lawyers(s): George M. Tamborello, Neil S. Baritz, Robert M. Bursky
Arbitrator(s): Henry F. Minnerop, Carroll E. Neesemann, Michael E. Silverman
Hearing Site: New York, NY
| | |
| 07-03628 | 11/10/2008 | Claimant(s): David Lobato
Claimant Lawyers(s): David Lobato
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Alun Hywel Jones
Hearing Site: New York, NY
| | $0 |
| 06-04308 | 11/07/2008 | Claimant(s): Andrew Garrett.
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Alan Underberg, Ernest Silano, Robert Rosen, Vincent Ficci, Bishop, Rosen & Co..
Respondent Lawyers(s): David A. Schrader, Eugene M. Underberg, Martin S. Siegel, Vincent C. Ficci
Arbitrator(s): Donald Ferguson, Randolph Guggenheimer, Roy L. Weiss
Hearing Site: New York, NY
| | |
| 08-00483 | 11/07/2008 | Claimant(s): Marvin Becker
Claimant Lawyers(s): Ira S. Kaplan
Respondent(s): Michael Napolitano, Signator Investors.
Respondent Lawyers(s): James J. Weller, Matthew Tracy
Arbitrator(s): Kenneth B. Cutler, Anthony Michael Sabino, Biagio A. Civale
Hearing Site: New York, NY
| | $10,000 |
