| 09-07096 | 09/23/2010 | Claimant(s): Georgette Siedlecki, James Siedlecki, James & Georgette Siedlecki
Claimant Lawyers(s): Sam Tenenbaum
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Michael I. White
Hearing Site: Chicago, IL
|  | $213 |
| 08-01373 | 09/22/2010 | Claimant(s): Obsidian Financial Group
Claimant Lawyers(s): Brian Reis
Respondent(s): Vincent Bentivegna
Respondent Lawyers(s): Vincent Dominic Bentivegna
Arbitrator(s): Peter A. Goldman, Daniel Robbins, Martin J. Malia
Hearing Site: New York, NY
| | |
| 09-05975 | 09/22/2010 | Claimant(s): Ron Bekins
Claimant Lawyers(s): Ron Bekins
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Frances D. Sheehy, Mary H. Cory, Charles R. Smith
Hearing Site: Boca Raton, FL
| | |
| 10-01074 | 09/22/2010 | Claimant(s): PCG Management
Claimant Lawyers(s): James D. Gaberino
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Genna Stephens
Arbitrator(s): T. E. Jaeb
Hearing Site: Dallas, TX
| | $0 |
| 09-04955 | 09/21/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Troy Joseph
Respondent Lawyers(s): Troy A. Joseph
Arbitrator(s): Perry Lee Taylor
Hearing Site: Atlanta, GA
| | |
| 09-06625 | 09/21/2010 | Claimant(s): John Conroy, Kevin Brennan
Claimant Lawyers(s): John Conroy, Kevin Brennan
Respondent(s): James Maurer
Respondent Lawyers(s): James W. Maurer
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 10-01784 | 09/21/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Patrick Garcia
Respondent Lawyers(s): Patrick A. Garcia
Arbitrator(s): Saul Scheier
Hearing Site: Newark, NJ
| | |
| 09-03717 | 09/21/2010 | Claimant(s): Gerald Lanzalotto
Claimant Lawyers(s): Paul B. Radvany
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne M. Moriarty
Arbitrator(s): Fred S. Pieroni
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 09-00144 | 09/21/2010 | Claimant(s): CoStar Group.
Claimant Lawyers(s): Brian J. Fischer
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Emily Eiselman Hunter, T.S.L. Perlman, Walter Peterson
Hearing Site: Washington, DC
| | $0 |
| 10-01582 | 09/20/2010 | Claimant(s): David Le Munyon
Claimant Lawyers(s): David S Le Munyon
Respondent(s): Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Kenneth J. Turnbull, Patricia E. Cowart
Arbitrator(s): Dwight Wassong
Hearing Site: Newark, NJ
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