| 09-04668 | 11/03/2010 | Claimant(s): Anthony Cronin, Dusan Nogulovic
Claimant Lawyers(s): James M. Griffin
Respondent(s): Dresdner Kleinwort Securities LLC
Respondent Lawyers(s): Diana Constantino Gomprecht
Arbitrator(s): Margaret M McQueeney, David S. Billet, Francis J. LaSalla
Hearing Site: New York, NY
| | |
| 10-02179 | 11/03/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s): Carolyn Haik
Respondent Lawyers(s): Carolyn J. Haik
Arbitrator(s): Herb Schwartz
Hearing Site: Honolulu, HI
| | |
| 10-02212 | 11/03/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Christian Erickson
Respondent Lawyers(s): Christian E. Erickson
Arbitrator(s): Frederick Michael Switzer
Hearing Site: Louisville, KY
| | |
| 08-04357 | 11/03/2010 | Claimant(s): Steven Edelson and Ellen Edelson
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Kenneth Diamond, Cecilia B. Loving, Thomas D. Giordano
Hearing Site: New York, NY
|  | $529,688 |
| 09-03015 | 11/03/2010 | Claimant(s): Josephine Pignato
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Capital One Investment Services Corp
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | $73,281 |
| 09-03285 | 11/03/2010 | Claimant(s): Joseph Mercer
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ricardo Gonzalez
Arbitrator(s): Arthur DeStefano, J. Porter McClean, Frank Brenner
Hearing Site: Orlando, FL
| | $444,978 |
| 09-06370 | 11/03/2010 | Claimant(s): Vivian Escandon
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Doreen S. Young
Arbitrator(s): Jacque E. Sohm, Carl Shechter, Jack G. Armstrong
Hearing Site: Boca Raton, FL
| | $79,125 |
| 10-00085 | 11/03/2010 | Claimant(s): Linda Fastow Trust
Claimant Lawyers(s): Brian Fastow
Respondent(s): Donald Marshall, Fox & Company Investments Inc.
Respondent Lawyers(s): Donald Richard Marshall, John F. Goodson
Arbitrator(s): R. Peter Faris
Hearing Site: Las Vegas, NV
| | $11,935 |
| 09-01514 | 11/03/2010 | Claimant(s): RAM Investors LP Jefferies, RLM Family Trust Jefferies, Ron & Lucille Matricaria Family Trust
Claimant Lawyers(s): David E. Robbins
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Brett D. Jaffe
Arbitrator(s): Charles R. Berry, Stephanie P. Lebhar, Sheila Grinell
Hearing Site: Phoenix, AZ
| | $0 |
| 09-05154 | 11/03/2010 | Claimant(s): 414 LLC, 515 LLC
Claimant Lawyers(s): Michael M Steinmetz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Denzil J. Klippel, W. Jeffrey Weinlandt, Robert E. Anderson
Hearing Site: New York, NY
| | $0 |
