| 09-04746 | 03/08/2010 | Claimant(s): SagePoint Financial.
Claimant Lawyers(s): Barry R. Temkin
Respondent(s): John Heil
Respondent Lawyers(s): John H. Heil
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | |
| 09-05366 | 03/08/2010 | Claimant(s): Howard Braff
Claimant Lawyers(s): Howard Braff
Respondent(s): Peter Downey
Respondent Lawyers(s): Peter David Downey
Arbitrator(s): Fern Sue Reidman
Hearing Site: New York, NY
| | |
| 08-02601 | 03/05/2010 | Claimant(s): Piper Jaffray & Co.
Claimant Lawyers(s): Terrence J. Fleming
Respondent(s): Christopher Peterson, Cole Ryba, David Holden, Stifel, Nicolaus & Co.., John Kuny, John Pinto, Lindsay Paine, Michael Loop, Michael Pellicci, Neil Koepcke, Stephen Tufo, Zigmund Peret
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Judith A. Rogosheske, Jack D. Elmquist, Edward C. Oliver
Hearing Site: Minneapolis, MN
| | |
| 08-03302 | 03/05/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Richard Riccio
Respondent Lawyers(s): Richard J. Riccio
Arbitrator(s): Burton M. Fendelman, Linda S. Cole, W. Jeffrey Weinlandt
Hearing Site: New York, NY
| | |
| 08-03749 | 03/05/2010 | Claimant(s): Gilbert Millstein
Claimant Lawyers(s): Michael A. Korn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Romaine L. Gardner, Arnold Wagner, Tibor C. Klein
Hearing Site: New York, NY
| | |
| 09-02187 | 03/05/2010 | Claimant(s): Douglas Vander Weide
Claimant Lawyers(s): Michael A. Dee
Respondent(s): David Jesse, Richard Keeling, Robin Marshall
Respondent Lawyers(s): John D. Hintze
Arbitrator(s): Charles F. Custer, Richard L. Mitchell, Verne R. Gray
Hearing Site: Des Moines, IA
| | |
| 08-03571 | 03/05/2010 | Claimant(s): David Solger, Jimmy Ackerman, Judith Solger
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Robert Dokken
Respondent Lawyers(s): Robert S. Dokken
Arbitrator(s): Edith N. Dinneen, Linda L. Busby, Alexander Myers
Hearing Site: Tampa, FL
|  | $191,590 |
| 09-02314 | 03/05/2010 | Claimant(s): Family Funding LLC, Haney Family LLC, Franklin L. Haney Revocable Trust Dated
Claimant Lawyers(s): Larry D. Blust
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Helena J. Jepson
Arbitrator(s): Dave Wolf, Judith Stilz Ogden, Jay D. Lukowski
Hearing Site: Atlanta, GA
| | $1,600,000 |
| 08-01318 | 03/05/2010 | Claimant(s): Thelma Gainer
Claimant Lawyers(s): Thelma Gainer
Respondent(s): NYLife Securities LLC, Robert Koeller, Primevest Financial Services.
Respondent Lawyers(s): Harvey R. Herman, Kenneth L. Schmetterer
Arbitrator(s): Daniel Baruch Lidawer, Lawrence Tepper, Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 09-02561 | 03/05/2010 | Claimant(s): Rose Weisz
Claimant Lawyers(s): Robert E. Goodman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Joshua D. Wallach, Larry J. Craddock, Brian James Tagtmeier
Hearing Site: Houston, TX
| | $0 |
