| 09-05448 | 03/15/2010 | Claimant(s): Surviving Settlors Trust, UW G&E Derbyshire Trust
Claimant Lawyers(s): George H. Derbyshire
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Catherine L. Luth
Arbitrator(s): Marc Kalish
Hearing Site: Las Vegas, NV
|  | $0 |
| 09-02749 | 03/12/2010 | Claimant(s): Michael Banayan
Claimant Lawyers(s): Leonard Steiner
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Timm A. VerDuin
Arbitrator(s): Roberta Haft, Elizabeth A. Copley, Barton J. Brewer
Hearing Site: Los Angeles, CA
| | |
| 09-04297 | 03/12/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeffrey Lamboy
Respondent Lawyers(s): Jeffrey Lamboy
Arbitrator(s): Norman J. Reich, Isaac M Zucker, Joseph La Rosa
Hearing Site: New York, NY
| | |
| 09-01655 | 03/12/2010 | Claimant(s): David Driesen
Claimant Lawyers(s): David M. Driesen
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): Frank C. Fogl
Hearing Site: Rochester, NY
| | $7,664 |
| 09-02041 | 03/12/2010 | Claimant(s): Joseph Quill, Dr. Joseph R. Quill, Grantor and Benefic
Claimant Lawyers(s): Jean Hanna Bickhart
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): John J. Jordan, Fred M. Fleisher, Robin L. Lewis
Hearing Site: Philadelphia, PA
| | $110,800 |
| 09-05047 | 03/12/2010 | Claimant(s): Brandy Rowan
Claimant Lawyers(s): Brandy Rowan
Respondent(s): Royal Alliance Associates., Mark Steckler, Caruso McLean & Co.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Frank C. Fogl
Hearing Site: Syracuse, NY
| | $2,748 |
| 09-01156 | 03/12/2010 | Claimant(s): Abraham Soldaner
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): James J. Fishman, Pamela H. Roderick, Frank Irizarry
Hearing Site: New York, NY
| | $0 |
| 08-01079 | 03/11/2010 | Claimant(s): Eric Bunker
Claimant Lawyers(s): Eric W. Bunker
Respondent(s): Jason Seale
Respondent Lawyers(s): Steven M. Sherman
Arbitrator(s): Ralph A. Cotton, John J. Fitzpatrick, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | |
| 09-02760 | 03/11/2010 | Claimant(s): Further Lane Securities, L.P.
Claimant Lawyers(s): Carole R. Bernstein
Respondent(s): Evan Schwartzberg, Odeon Capital Group LLC
Respondent Lawyers(s): Alan Friedman
Arbitrator(s): Earl S. Schwarz, Edward S. Bradley, Linda S. Cole
Hearing Site: New York, NY
| | |
| 09-04891 | 03/11/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Edward O'Connor
Respondent Lawyers(s): Edward Thomas O'Connor
Arbitrator(s): Stephen Z. Frank
Hearing Site: Boston, MA
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