| 08-02511 | 01/18/2011 | Claimant(s): Joseph Torsiello
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): AXA Advisors
Respondent Lawyers(s): Elliot R. Good
Arbitrator(s): Sheldon I. Saitlin, Ned B. Young, Charles R. Smith
Hearing Site: Boca Raton, FL
|  | $0 |
| 10-00210 | 01/14/2011 | Claimant(s): Paul Stanley
Claimant Lawyers(s): Marc A. Goldman
Respondent(s): Dennis Brown, Kimberly Liddell, Equitas America
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Peter S. Viviano, Kenneth J. Safran, Jonathan Edward Maire
Hearing Site: Detroit, MI
| | |
| 10-03020 | 01/14/2011 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): David LaMay, Essex Financial Services.
Respondent Lawyers(s): Richard Slavin, Robert A. Richardson
Arbitrator(s): Charles Franklin Willson, John Thomas Shaban, Edward Allison Downe
Hearing Site: Hartford, CT
| | |
| 09-01769 | 01/14/2011 | Claimant(s): Joseph Quattrocchi, Dependable Auto Body., George Tropiano IRA, Victor N. Sotra IRA, Katherine Ruotolo and Gina Ruotolo, Victor H. Stora and Lucille Stora
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): Allan Levine, Andrew Gonchar, Michael Schumacher, Polyvios Polyviou, Ronald Moschetta, Strasbourger Pearson Tulcin Wolff.
Respondent Lawyers(s): Karen B. Estis, Michael K. Coran, Peter M. Spett, Ronald Moschetta
Arbitrator(s): Richard W. Cutler, Edith M. Gunn, Jerome M Shafer
Hearing Site: New York, NY
| | $367,388 |
| 09-06155 | 01/14/2011 | Claimant(s): John A. Winter IRA, Margie M. Winter IRA, John A. Winter & Margie M. Winter, John A. Winter 401K Plan
Claimant Lawyers(s): John Winter
Respondent(s): Robert W. Baird & Co. Incorporated, Thomas Waldkirch
Respondent Lawyers(s): Gregory G. Wille
Arbitrator(s): Terry F. Peppard, Donald V. Anderson, James P. O'Donnell
Hearing Site: Milwaukee, WI
| | $0 |
| 09-07021 | 01/13/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross Carmel
Respondent(s): Guido Alvarez
Respondent Lawyers(s): Guido J. Alvarez
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | |
| 10-02970 | 01/13/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Patrick Yun
Respondent Lawyers(s): Joseph Bongiorno
Arbitrator(s): S. Charles Tabak
Hearing Site: Newark, NJ
| | |
| 09-02975 | 01/13/2011 | Claimant(s): Bernard Sussman, IRA, Bernard Sussman Revocable Trust
Claimant Lawyers(s): Michael Amad
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Peter J. Lavezzoli, James W. Geiger, Mark I. Roth
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 09-04028 | 01/13/2011 | Claimant(s): Phyllis Williams, Phyllis S. Williams Revocable Trust
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
| | Expungement |
| 08-02639 | 01/13/2011 | Claimant(s): International Capital Management Company
Claimant Lawyers(s): Celiza P. Braganca
Respondent(s): J.P. Morgan Securities, Matthew Tannin, Norman Lang, Ralph Cioffi, Raymond McGarrigal, Bear Stearns Asset Management Inc., The Bear Stearn & Companies.
Respondent Lawyers(s): Catherine L. Redlich, Edward J.M. Little, Gabrielle Gould, Theresa Trzaskoma
Arbitrator(s): Howard B. Silverman, Susanne J. Hollander, Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
