| 08-02468 | 04/01/2010 | Claimant(s): Ellen Koval
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Louis H. Miron, Marvin L. Schuldiner, Stephen M. Plotnick
Hearing Site: New York, NY
|  | $0 |
| 08-04703 | 04/01/2010 | Claimant(s): Terry Green
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): John K. Boyce, Charles E. Munson, Byron G. Hannah
Hearing Site: Houston, TX
| | $0 |
| 08-03070 | 03/31/2010 | Claimant(s): Steven Esposito
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Erin E. Mac Avoy
Arbitrator(s): Theodore L. Leeb, Epaminondas Eddie Manelis, John C. Bierbusse
Hearing Site: Chicago, IL
| | |
| 09-02129 | 03/31/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Michael Napolitano
Respondent Lawyers(s): J. Christopher Albanese
Arbitrator(s): Roger J. Hawke, Frank Irizarry, W. Jeffrey Weinlandt
Hearing Site: New York, NY
| | |
| 09-03343 | 03/31/2010 | Claimant(s): Lauren Stauffer
Claimant Lawyers(s): Jeffrey S. Kruske
Respondent(s): Legend Equities Corporation
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Donald B. Clark, Sharon Lee McKinney, Steven Joseph Streen
Hearing Site: Kansas City, MO
| | |
| 09-03378 | 03/31/2010 | Claimant(s): Robert Willoughby
Claimant Lawyers(s): Jeffrey Shepro
Respondent(s): Weatherly Securities Corporation
Respondent Lawyers(s): Maria Porcelli
Arbitrator(s): Lise Gabrielle Hunter
Hearing Site: New York, NY
| | |
| 07-03554 | 03/31/2010 | Claimant(s): Gloria Amstrong
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Frank Bluestein, GunnAllen Financial., Questar Capital Corporation
Respondent Lawyers(s): Frank J. Bluestein, Julie H. Firestone, Suzanne Walsh
Arbitrator(s): A. Robert Stevenson, Lee Hornberger, Anthony Allen Mogle
Hearing Site: Detroit, MI
| | $137,000 |
| 08-00462 | 03/31/2010 | Claimant(s): Robin Visocsky
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Hornor, Townsend & Kent.
Respondent Lawyers(s): Margaret F. Swetman
Arbitrator(s): Sandra K. Hummel, Sherry L. Robinson, John R. Loss
Hearing Site: Kansas City, MO
| | $385,650 |
| 08-03255 | 03/31/2010 | Claimant(s): Frank Sellers, Jay Carpenter
Claimant Lawyers(s): Kent W. Starr
Respondent(s): Stifel, Nicolaus & Co.., Steven Bright
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Maxel (Bud) B. Silverberg, Marie A. Moore, Philip I. McConnell
Hearing Site: Dallas, TX
| | $366,300 |
| 09-03773 | 03/31/2010 | Claimant(s): Dora McIlhenny Trust
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Greg S. Como
Arbitrator(s): Robert S. McConnell, Gary L. Freeman, Brian W. Yee
Hearing Site: Phoenix, AZ
| | $91,129 |
