| 07-02018 | 10/02/2008 | Claimant(s): EKN Financial Services Inc.
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): Andrew Grant
Respondent Lawyers(s): Mark D. Hunter
Arbitrator(s): Romaine L. Gardner, Alexander Forti, John T. Cafferty
Hearing Site: New York, NY
| | |
| 08-00134 | 10/02/2008 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Stephen Renaud
Respondent Lawyers(s): Stephen Arthur Renaud
Arbitrator(s): Doris Lindbergh
Hearing Site: New York, NY
| | |
| 06-05247 | 10/02/2008 | Claimant(s): Cheryl Symmes
Claimant Lawyers(s): Mark Thomas Sophocles
Respondent(s): Goldman, Sachs and Company, Todd Silaika
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Robert R. Barker, Robert L. Chase, Philip S. Walker
Hearing Site: New York, NY
|  | Expungement |
| 08-00617 | 10/01/2008 | Claimant(s): EKN Financial Services Inc.
Claimant Lawyers(s): Richard R. Borgner
Respondent(s): Ahmad Wares
Respondent Lawyers(s): Ahmad Wares
Arbitrator(s): William E.S. Browning
Hearing Site: New York, NY
| | |
| 06-04200 | 10/01/2008 | Claimant(s): Barbara Lerner
Claimant Lawyers(s): Lisa Catalano
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): J. Martin McDonough, Richard S. Peskin, Linda G. March
Hearing Site: New York, NY
| | $0 |
| 07-02475 | 09/29/2008 | Claimant(s): William Capogrosso
Claimant Lawyers(s): Mario H. Capogroso
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Carroll E. Neesemann, Michael P. Golden, Kip C. Lubcke
Hearing Site: New York, NY
| | $0 |
| 07-02676 | 09/24/2008 | Claimant(s): Sophie Rothstein
Claimant Lawyers(s): Edward Rothstein
Respondent(s): Joel Chase, UBS Financial Services Inc., Richard Fitzburgh
Respondent Lawyers(s): Dan A. Rosenbaum, Danl A. Rosenbaum
Arbitrator(s): Vicki R. Lawrence, Sandra J. Mullings
Hearing Site: New York, NY
| | $0 |
| 07-01135 | 09/23/2008 | Claimant(s): Ryan Beck & Co.
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Arthur Ogbogu
Respondent Lawyers(s): Arthur Ogbogu
Arbitrator(s): Richard W Berenger, Joseph C. Pickard, William A. Hohauser
Hearing Site: New York, NY
| | |
| 07-02165 | 09/23/2008 | Claimant(s): Amy Levenson
Claimant Lawyers(s): Anne C. Vladeck
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Denzil J. Klippel, Richard E. Lerner, Joshua Mark Zucker
Hearing Site: New York, NY
| | |
| 07-03047 | 09/23/2008 | Claimant(s): Lisa Cavaliere
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Thomas P. Briody
Arbitrator(s): Aaron Friedman, Robert A. Vaccaro, William E. Nuckel
Hearing Site: New York, NY
| | $0 |
