09-05747 | 03/11/2010 | Claimant(s): CIBC World Markets Corp. Claimant Lawyers(s): Joseph J Sullivan Respondent(s): Juan Bermudez Respondent Lawyers(s): Sandra D. Grannum Arbitrator(s): David I. Goldblatt Hearing Site: New York, NY
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08-04330 | 03/11/2010 | Claimant(s): Henrietta Silverman Claimant Lawyers(s): Jeffrey W. Kleiner Respondent(s): Barry Richter, Stifel, Nicolaus & Co.., Leonard Weintraub, Sheila Richter Respondent Lawyers(s): Joseph F. Generelli, Leonard Weintraub Arbitrator(s): Robert L. Nisely, Charles S. Guggenheimer, Charles L. Henderson Hearing Site: New York, NY
| | Expungement |
08-03264 | 03/11/2010 | Claimant(s): Adam Frank, Isaac Frank, Laurence Frank, Adam Joel Frank IRA, Isaac Frank IRA, Laurence M. Frank IRA, Lois L. Frank, Lois L. Frank IRA Claimant Lawyers(s): James K. Langdon Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Stephen Young Arbitrator(s): Howard S. Levine, Frank W. Virgin, Andy W. Morgan Hearing Site: Atlanta, GA
| | $0 |
08-02101 | 03/10/2010 | Claimant(s): Michael Keleher Claimant Lawyers(s): Saul Roffe Respondent(s): Christian Wagner, Richard Patrick, ING Financial Partners. Respondent Lawyers(s): Luigi Spadafora, Paula D. Shaffner, Richard Vincent Patrick Arbitrator(s): Edward L. Levine, Edith M. Novack, Dawn Suzanne Simon Talbot Hearing Site: Newark, NJ
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08-04072 | 03/10/2010 | Claimant(s): Commonwealth Financial Network Claimant Lawyers(s): Michael G. Donovan Respondent(s): David Vorbeck, F. Dunnuck Respondent Lawyers(s): Paul D. Vink Arbitrator(s): Peter L. Pointer, Patrick J. Burley, Jeffrey Richard Chiappetta Hearing Site: Indianapolis, IN
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08-03947 | 03/10/2010 | Claimant(s): Sturla Terry Canale Living Trust Claimant Lawyers(s): Jan Douglas Atlas Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): John-David H. Thomas Arbitrator(s): John P. Cullem, Howard L. Hill, Donald R. Smith Hearing Site: Tampa, FL
| | $50,000 |
09-00003 | 03/10/2010 | Claimant(s): Colette McDonald Claimant Lawyers(s): Adolph D. Seltzer Respondent(s): Daniel Devaney, Samuel A. Ramirez & Company. Respondent Lawyers(s): Meredith Jowers Lees Arbitrator(s): Robert Pincus, Robert I. Adler, Roy L. Weiss Hearing Site: New York, NY
| | $53,000 |
09-00303 | 03/10/2010 | Claimant(s): Kathleen S. Lahare, Paul J. Lahare Claimant Lawyers(s): Jessica M. Vasquez Respondent(s): Robert McCullough, Edward Jones Respondent Lawyers(s): Dennis J. Capriglione Arbitrator(s): Simeon B. Reimonenq, Carolyn L. Witherspoon, Robert A. Wojcik Hearing Site: New Orleans, LA
| | $0 |
09-03869 | 03/10/2010 | Claimant(s): Lorraine Barchinger Claimant Lawyers(s): Lorraine T. Barchinger Respondent(s): John Foltz, William Herf, B. C. Ziegler And Company Respondent Lawyers(s): Nicole Goodwin Arbitrator(s): Eugene W. Bronski Hearing Site: Phoenix, AZ
| | $0 |
07-03583 | 03/09/2010 | Claimant(s): Wachovia Securities Financial Network Claimant Lawyers(s): Gregory Tendrich Respondent(s): Brad Nussbaum Respondent Lawyers(s): Brad N. Nussbaum Arbitrator(s): Harry D. Frisch Hearing Site: Newark, NJ
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