| 09-00005 | 05/27/2010 | Claimant(s): Paulson Investment Company
Claimant Lawyers(s): Marc J. Ross
Respondent(s): Gary Melius, John Donahue, Roger Bahnik
Respondent Lawyers(s): Bryan T. Mohler, Marc J. Ross
Arbitrator(s): Joseph B. Russell, Mary Ellen Burns, Scott W. Mulford
Hearing Site: New York, NY
|  | $0 |
| 09-03394 | 05/26/2010 | Claimant(s): Thomas Logan
Claimant Lawyers(s): Kevin J Mirch
Respondent(s): Peter Sims, Toni Moninger, Lincoln Financial Distributors.
Respondent Lawyers(s): Grant P. Alexander
Arbitrator(s): Jeffrey L. Gaffney, James B. Guillou, Robert Alan Merring
Hearing Site: San Diego, CA
| | |
| 09-03808 | 05/26/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Michael Jacob Ewart
Respondent(s): Kevin Salk
Respondent Lawyers(s): Kevin Craig Salk
Arbitrator(s): Jeffrey E. Skogsbergh
Hearing Site: Los Angeles, CA
| | |
| 09-05062 | 05/26/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Kirk Barrett
Respondent Lawyers(s): Kirk Christopher Barrett
Arbitrator(s): Stephen Z. Frank
Hearing Site: Boston, MA
| | |
| 09-06795 | 05/26/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Courtney R. Reid
Respondent(s): Richard Ryder
Respondent Lawyers(s): Richard J Ryder
Arbitrator(s): Robert W. Kneeland
Hearing Site: Tampa, FL
| | |
| 07-02316 | 05/26/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Steven G. Leventhal
Respondent(s): Azam Baroukhiam
Respondent Lawyers(s): Azam F. Baroukhiam
Arbitrator(s): Aaron Friedman, Martin A. Edelstein, Alan Gradzki
Hearing Site: New York, NY
| | $27,900 |
| 08-01389 | 05/26/2010 | Claimant(s): Paul Gosiger
Claimant Lawyers(s): Russell S. Sayre
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Hasan Ibrahim
Arbitrator(s): Lisa Shusterman, Harlita R. Tomlinson, Marc E. Henn
Hearing Site: Cincinnati, OH
| | $24,549 |
| 08-04291 | 05/26/2010 | Claimant(s): The Selan Family Trust dd 8/25/95
Claimant Lawyers(s): Philip M. Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Alan Stamm, Alan M. Rosen, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $550,880 |
| 09-00431 | 05/26/2010 | Claimant(s): Cornelio Popesco, Maria De Popesco, Liberty Trading, S.A.
Claimant Lawyers(s): Paulino A. Nunez
Respondent(s): Jose Fincheltub
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Steven R. Reininger, Ilisa J. Smukler, Dana de Windt
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 09-01381 | 05/26/2010 | Claimant(s): Guy Girgenti
Claimant Lawyers(s): Guy Girgenti
Respondent(s): Janice Ginsburg, Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Barbara J. Glenns, Madelyn A. Levy, Philip R. Lochner
Hearing Site: New York, NY
| | Expungement |
