| 09-04699 | 10/20/2010 | Claimant(s): Jill Trade, Paigow II
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Laurie E. Law, Jay Lawrence Witkin, Gregory B. Wood
Hearing Site: Las Vegas, NV
|  | $0 |
| 10-02457 | 10/19/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Matthew Pulsipher
Respondent Lawyers(s): Matthew James Pulsipher
Arbitrator(s): Dean J. Dietrich
Hearing Site: Portland, OR
| | |
| 09-04496 | 10/19/2010 | Claimant(s): Maurice Kelly
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Michael J. McAllister, Robert Youdelman, George E. Kroon
Hearing Site: New York, NY
| | $100,000 |
| 09-05931 | 10/19/2010 | Claimant(s): Isabelle Chang
Claimant Lawyers(s): Stephen Z. Frank
Respondent(s): Troy McElreath, Advisory Group Equity Services Ltd.
Respondent Lawyers(s): Allen N. David
Arbitrator(s): David Ellis, Howard I. Wilgoren, Debra M. Brown
Hearing Site: Boston, MA
| | $121,030 |
| 09-04960 | 10/18/2010 | Claimant(s): Marc Wolff, Wolff Investment Planning
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Moors & Cabot.
Respondent Lawyers(s): David L. Ward
Arbitrator(s): Russell W. Merriman, Lawrence Zenville Rosenberg, Robert Knickerbocker
Hearing Site: Tampa, FL
| | |
| 09-05255 | 10/18/2010 | Claimant(s): Raymond Cole
Claimant Lawyers(s): William J. Gladden
Respondent(s): Douglas Cochran, Morgan Stanley & Co.
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): Leon G. Mackey, Patricia G. Parthe, Richard D. Fincher
Hearing Site: Phoenix, AZ
| | $270,600 |
| 09-03645 | 10/18/2010 | Claimant(s): Jerome Mayersak Fam. Ltd. Partnership
Claimant Lawyers(s): Jerome S. Mayersak
Respondent(s): Lightspeed Trading
Respondent Lawyers(s): Joseph Sullivan
Arbitrator(s): Ellen J. Abrams
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 09-04980 | 10/18/2010 | Claimant(s): Robert J.A. Zito and Dana Cole
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Charles Albanese, Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Sandra Gale Behrle, Evdokia Sofos, Christine Costigan
Hearing Site: New York, NY
| | $0 |
| 08-04441 | 10/15/2010 | Claimant(s): Debra White
Claimant Lawyers(s): John White
Respondent(s): CapWest Securities., Capstone Financial Group.
Respondent Lawyers(s): Gregory Sherwin
Arbitrator(s): Dennis Dowd, Steven Meyrich, Thomas R. Bromberg
Hearing Site: Denver, CO
| | |
| 09-06961 | 10/15/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Jeffrey Taylor
Respondent Lawyers(s): Jeffrey Eugene Taylor
Arbitrator(s): George R. Canty
Hearing Site: Boca Raton, FL
| | |
