| 09-05964 | 06/28/2010 | Claimant(s): Matthew Andrews
Claimant Lawyers(s): Matthew Bryan Andrews
Respondent(s): Mark Rizzieri
Respondent Lawyers(s): Andrew Lipton
Arbitrator(s): Neil Harvey Smith
Hearing Site: Charlotte, NC
|  | $3,325 |
| 07-02912 | 06/25/2010 | Claimant(s): Keith Steidle, Michael Astashkevich, Roderick Norman
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Granite Securities, Obsidian Financial Group
Respondent Lawyers(s): Brian Reis
Arbitrator(s): Walter A. Kapuscinski, David L. Becker, Philip W Gaffney
Hearing Site: Newark, NJ
| | |
| 09-00266 | 06/25/2010 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Phil Pendergraft, Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Henry Hermann, Richard A Miller, Darrell G. Compton
Hearing Site: Dallas, TX
| | |
| 09-04566 | 06/25/2010 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Burlington
Respondent(s): Bruce Katz
Respondent Lawyers(s): Bruce Benjamin Katz
Arbitrator(s): Melvyn L. Klusky, Cheryl Feldman, Jean C. Black
Hearing Site: New York, NY
| | |
| 10-00588 | 06/25/2010 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Thomas Boan
Respondent Lawyers(s): Thomas M. Boan
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | |
| 09-00059 | 06/25/2010 | Claimant(s): Gregory George
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Michael Destefano, FMSBonds.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): David M. Levine, Robert M. Schubert, Edward Arthur Horton
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 09-03937 | 06/25/2010 | Claimant(s): Harry Salzman
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Florence Klein, American Classic Financial Company
Respondent Lawyers(s): Philip W. Bledsoe
Arbitrator(s): Malcolm T. Cleland, Gene R. Thornton, Luis D. Rovira
Hearing Site: Denver, CO
| | $103,500 |
| 09-04022 | 06/25/2010 | Claimant(s): Salma Keith
Claimant Lawyers(s): Salma S. Keith
Respondent(s): Clay Evans, Wells Fargo Investments
Respondent Lawyers(s): Kenneth C Mennemeier
Arbitrator(s): Linda M. McCoy
Hearing Site: San Francisco, CA
| | $5,000 |
| 09-03933 | 06/25/2010 | Claimant(s): Ron Auren, Gal Corporation
Claimant Lawyers(s): Ron Auren
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Michael W. Delaney, Esther A. Spachner, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $0 |
| 08-00873 | 06/24/2010 | Claimant(s): Zain Abdullah
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Calyon Securities (USA) Inc
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Howard Breindel, Mark Mendley, Mark J. Happe
Hearing Site: New York, NY
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