| 07-01121 | 12/04/2007 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Jeffrey Leo
Respondent Lawyers(s): Jeffrey Christian Leo
Arbitrator(s): William A. Hohauser
Hearing Site: New York, NY
| | |
| 06-03501 | 12/04/2007 | Claimant(s): Elizabeth Greer
Claimant Lawyers(s): Romaine L. Gardner
Respondent(s): Judith Cassidy, New England Securities
Respondent Lawyers(s): Rapheal M. Rosenblatt
Arbitrator(s): Ernest Fanwick, Barnard Seligman, Renee La Verne Ross CFP
Hearing Site: New York, NY
|  | $0 |
| 06-04392 | 12/03/2007 | Claimant(s): GunnAllen Financial Inc
Claimant Lawyers(s): Jay Marc Israel
Respondent(s): Wayne Lieberz
Respondent Lawyers(s): Stuart A. Jackson
Arbitrator(s): Michael Ross, Philip Florio, Brian R. Cohen
Hearing Site: New York, NY
| | |
| 07-02106 | 12/03/2007 | Claimant(s): Torc Investments and Research LLC
Claimant Lawyers(s): Ben Delfin
Respondent(s): DE Trading
Respondent Lawyers(s): Eric Lichtenstein
Arbitrator(s): John A. Astorina
Hearing Site: New York, NY
| | |
| 05-01106 | 11/30/2007 | Claimant(s): Anthony Titone
Claimant Lawyers(s): Kimberly N. Testa
Respondent(s): RBC Dain Rauscher., Stanley Hochhauser
Respondent Lawyers(s): Sandra Grannum
Arbitrator(s): Ivan W. Harper, Frank J. Spencer, Steven A. Infante
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 06-03677 | 11/29/2007 | Claimant(s): Lewis Goldman
Claimant Lawyers(s): Lewis Ira Goldman
Respondent(s): Eduardo Prado, Finacorp Securities
Respondent Lawyers(s): Eduardo J. Prado, Eduardo Jose Prado
Arbitrator(s): Steven A. Infante, Joseph Rudolph Guarino, Brian F Loveman
Hearing Site: New York, NY
| | |
| 05-06316 | 11/27/2007 | Claimant(s): Charles Goldschmidt, David Price, Howard Asher, Ledlie Borgerhoff, Robert Eickholt, Ronald Cook, Terry McSweeney, IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S Clareman
Arbitrator(s): Clifford A. Harwick, Daniel A. Pinkus, Joseph F. Grassi
Hearing Site: New York, NY
| | Stipulated Award |
| 07-00611 | 11/27/2007 | Claimant(s): Doreen Romamello-Davis
Claimant Lawyers(s): Doreen Romamello-Davis
Respondent(s): Marc Steinberg
Respondent Lawyers(s): Robert B. Steinberg, Esq.
Arbitrator(s): Roy L. Weiss
Hearing Site: New York, NY
| | $7,425 |
| 06-04633 | 11/26/2007 | Claimant(s): Robert and Saundra Koenigsberg
Claimant Lawyers(s): Robert and Saundra Koenigsberg
Respondent(s): Debra Mamber, Citigroup Global Markets.
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Thomas E. Mehrtens
Hearing Site: New York, NY
| | $0 |
| 07-00983 | 11/21/2007 | Claimant(s): American Capital Partners
Claimant Lawyers(s): Christopher Albanese
Respondent(s): Douglas Costabile
Respondent Lawyers(s): George C. Vlachos
Arbitrator(s): Paul A. Merolla, Peter J. Kenny, David J. Pine
Hearing Site: New York, NY
| | |
