| 07-03439 | 07/02/2008 | Claimant(s): James Kelly
Claimant Lawyers(s): Partha P. Chattoraj
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Dennis C. Cronin, David S. Billet, Madelon M. Rosenfeld
Hearing Site: New York, NY
| | |
| 07-01138 | 07/01/2008 | Claimant(s): Helen-Carolyn Ackerly
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Gilford Securities Incorporated
Respondent Lawyers(s): Michael Kalmus
Arbitrator(s): Joseph B. Russell, Kenneth L. Stewart, Joseph R. Brancaleone
Hearing Site: New York, NY
|  | $58,000 |
| 07-00401 | 06/24/2008 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Mark Roth
Respondent(s): Antonio Coladonato
Respondent Lawyers(s): Antonio Coladonato
Arbitrator(s): Larry A. Kimmel, Dorothy F. Gray, David N. Brainin
Hearing Site: New York, NY
| | |
| 07-03193 | 06/24/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Sandy Fliderman
Respondent Lawyers(s): Sandy Fliderman
Arbitrator(s): Carol E. Weir
Hearing Site: New York, NY
| | $0 |
| 07-00131 | 06/20/2008 | Claimant(s): Michael Ziegelbaum
Claimant Lawyers(s): Michael Burrows
Respondent(s): MarkeAxess Holdings. f/k/a Martket, Marketaxess Corporation
Respondent Lawyers(s): David A. Picon, Kenneth E. Aldous
Arbitrator(s): Frank M. Suttell, Carole R. Bernstein, Alun Hywel Jones
Hearing Site: New York, NY
| | |
| 07-01247 | 06/20/2008 | Claimant(s): Michael Ziegelbaum
Claimant Lawyers(s): Michael Burrows
Respondent(s): MarketAxess Holdings Inc. f/k/a Market
Respondent Lawyers(s): Kenneth E. Aldous
Arbitrator(s):
Hearing Site: New York, NY
| | |
| 07-02837 | 06/17/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): David Ricca
Respondent Lawyers(s): David A. Ricca
Arbitrator(s): Lisa Catalano
Hearing Site: New York, NY
| | |
| 08-00083 | 06/13/2008 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Edward W. Larkin
Respondent(s): Arbco Capital Management, LLP
Respondent Lawyers(s): Hayim Regensberg
Arbitrator(s): Richard W. Cutler, Irene C. Warshauer, Joan Seewald Brodsky
Hearing Site: New York, NY
| | $1,322,100 |
| 07-01850 | 06/10/2008 | Claimant(s): Nicola Dellaquila
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): White Pacific Securities.
Respondent Lawyers(s): Robert T. Sullwold
Arbitrator(s): John Cleaveland Palmer, Joel P. Mellis, Wayne P. Greene
Hearing Site: New York, NY
| | $129,600 |
| 07-02986 | 06/10/2008 | Claimant(s): James Bynum
Claimant Lawyers(s): James Bynum
Respondent(s): Joseph Jones, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern, Joseph Lionel Jones
Arbitrator(s): Irene C. Warshauer
Hearing Site: New York, NY
| | $0 |
