| 09-02736 | 12/30/2010 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Allan N. Taffet
Respondent(s): Enable Capital Management, Jefferies & Company., Enable Growth Partners
Respondent Lawyers(s): Alyson M. Weiss, Michael J. Baker
Arbitrator(s): Jonathan H. Krotinger, Mary Margaret Bush, Mary Kay Higgins Crockett
Hearing Site: San Francisco, CA
|  | $0 |
| 09-03087 | 12/29/2010 | Claimant(s): Marcus Ribka
Claimant Lawyers(s): Maryana A. Kodner
Respondent(s): SG Americas Securities
Respondent Lawyers(s): Michael Delikat
Arbitrator(s): Harold I. Geringer, Brian J. Burstin, Carole R. Bernstein
Hearing Site: New York, NY
| | |
| 09-04107 | 12/29/2010 | Claimant(s): Jeffrey Bischoff
Claimant Lawyers(s): Matthew W. Woodruff
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer M. Horowitz
Arbitrator(s): Royce Russell, Zuhayr A. Moghrabi, Gary Leonard Leventhal
Hearing Site: New York, NY
| | |
| 09-06470 | 12/29/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew Park
Respondent(s): Henry Frenzel
Respondent Lawyers(s): Ronald Hollander
Arbitrator(s): David N. Brainin
Hearing Site: New York, NY
| | |
| 10-00819 | 12/29/2010 | Claimant(s): Franklin Trice, Julia Gibbs
Claimant Lawyers(s): John E. Davidson
Respondent(s): John Pasco, Commonwealth Capital Management, Commonwealth Shareholder Services., First Dominion Capital Corp.
Respondent Lawyers(s): Robert M. Goldich, Steven M. Felsenstein
Arbitrator(s): Donald B. Vaden, James A. Cummings, John D. Robb
Hearing Site: Richmond, VA
| | |
| 10-02356 | 12/29/2010 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Daniel Catone
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): William J. Petzel
Hearing Site: San Francisco, CA
| | |
| 10-02582 | 12/29/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Todd Ratner
Respondent(s): Allison Tarpley, UBS Financial Services Inc.
Respondent Lawyers(s): John M. Phalen, Molly Tatman
Arbitrator(s): Mark L. Williams
Hearing Site: Dallas, TX
| | |
| 09-04130 | 12/29/2010 | Claimant(s): Morgan Stanley Smith Barney
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Clifford Feldstein, Kenneth Sitomer, Ronald Feldstein, Mara Capital Management
Respondent Lawyers(s): Jay Goldberg, Seth Huberman
Arbitrator(s): Ann C. Northern, Marilyn J. Salzman, Randolph Guggenheimer
Hearing Site: New York, NY
| | $0 |
| 09-04244 | 12/29/2010 | Claimant(s): Jeffrey Haugh, Linda Haugh, AAA Consulting, Mid-Atlantic Anesthesia, P.A., Jeffrey T. Haugh and Linda Haugh
Claimant Lawyers(s): Mark M. Dumler
Respondent(s): Aura Financial Services., Harvard Funding Group., Westpark Capital.
Respondent Lawyers(s): John Woodruff, Richard Kraut
Arbitrator(s): Richard E. Lauziere, Robert T. Reeves, Alan Robert Malasky
Hearing Site: Baltimore, MD
| | $585,000 |
| 09-05038 | 12/29/2010 | Claimant(s): George Comeau
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Jack Friedman, Christopher C. Gorski, Abigail J. Pessen
Hearing Site: New York, NY
| | Expungement |
