| 09-02268 | 12/23/2010 | Claimant(s): Michael Stein, William Aaron
Claimant Lawyers(s): Michael I. Allen
Respondent(s): Neuberger Berman
Respondent Lawyers(s): Randi W. Singer
Arbitrator(s): Stephanie Morse-Shamosh, William C. Struyk, Sheldon Curtis
Hearing Site: New York, NY
| | |
| 09-05303 | 12/23/2010 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Steve Nolen
Respondent Lawyers(s): Gary Nolen
Arbitrator(s): Michael F. Fetsch, Tim V. Young, Stephen L. Flint
Hearing Site: Indianapolis, IN
| | |
| 10-01651 | 12/23/2010 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): William Whitehurst
Respondent Lawyers(s): William Whitehurst
Arbitrator(s): David Paul Clark
Hearing Site: Baltimore, MD
| | |
| 09-04454 | 12/23/2010 | Claimant(s): Collins Capital LLC
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jeffrey Samsen, J.P. Morgan Securities, Bear Stearns Asset Backed Securities Fun, Bear Stearns Asset Management Inc., Bear Stearns Securities Clearing Corp, Bear, Stearns & Co.., J.P. Morgan Chase & Co., J.P. Morgan Clearing Corp., The Bear Stearns Companies.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Alan S. Braunshweiger, Daniel Robbins, Michele S. Riley
Hearing Site: New York, NY
|  | Expungement |
| 09-05681 | 12/23/2010 | Claimant(s): Beverly Coryn, Beverly Coryn IRAs
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Ogilvie Security Advisors Corporation
Respondent Lawyers(s): David A. Baugh
Arbitrator(s): Randall S. Strause, Joseph V. Simeri, James A. Morrow
Hearing Site: Indianapolis, IN
| | $63,534 |
| 09-01371 | 12/23/2010 | Claimant(s): MF Global Inc.
Claimant Lawyers(s): John W. Cotton
Respondent(s): Sohan Dua
Respondent Lawyers(s): Montgomery G. Griffin
Arbitrator(s): Milton N. Gross, Robert C. Albini, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | $0 |
| 09-03074 | 12/23/2010 | Claimant(s): Michael Maher
Claimant Lawyers(s): Patrick Zummo
Respondent(s): John Bentley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Judith A. Meyer
Arbitrator(s): Kathy R. Holler, Thomas D. Nagle, Larry J. Craddock
Hearing Site: Houston, TX
| | $0 |
| 09-06164 | 12/23/2010 | Claimant(s): The Trust FBO Dorothy S. Hellyer
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Timothy Bass
Arbitrator(s): Jane C. Carney, Peter J. Pokorny, Bryan Thomas Di Lella
Hearing Site: Washington, DC
| | $300 |
| 09-02704 | 12/22/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Mark Robles
Respondent Lawyers(s): Mark J. Robles
Arbitrator(s): Erik R. Siering, Janice A. Salter, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | |
| 09-05790 | 12/22/2010 | Claimant(s): Global Wealth Care Group, L.L.C.
Claimant Lawyers(s): Bruce V. Schewe
Respondent(s): Craig Babineaux
Respondent Lawyers(s): Paul J. Hebert
Arbitrator(s): Mark A. Myers, John C. Anjier, David Walton Earle
Hearing Site: New Orleans, LA
| | |
