| 09-05529 | 03/03/2010 | Claimant(s): Paul Geier
Claimant Lawyers(s): Leonardo Trivigno
Respondent(s): The GMS Group
Respondent Lawyers(s): John E. Jenkins
Arbitrator(s): Stanley Seidman
Hearing Site: Boca Raton, FL
|  | $425 |
| 07-03139 | 03/02/2010 | Claimant(s): Kenneth Lipper, Lipper & Company., Lipper & Company, L.P., Lipper Partners
Claimant Lawyers(s): Catherine M. Foti
Respondent(s): Lipper Convertibles, L.P. (Richard Willi, Lipper Fixed Income Fund, L.P. by Richar
Respondent Lawyers(s): Ronald D. Shindler, Thomas A. Dubbs
Arbitrator(s): Andrew D. Hudders, Robert Pincus, Alice J. P. Lee-Getman
Hearing Site: New York, NY
| | |
| 08-03610 | 03/02/2010 | Claimant(s): Lipper Convertibles, L.P. by Richard Wil, Lipper Fixed Income Fund, L.P. by Richar
Claimant Lawyers(s): Thomas A. Dubbs
Respondent(s): Kenneth Lipper
Respondent Lawyers(s): Catherine i M. Foti
Arbitrator(s):
Hearing Site: New York, NY
| | |
| 09-03896 | 03/02/2010 | Claimant(s): Bradley Mccord, Tracy Turner
Claimant Lawyers(s): Tracy Turner
Respondent(s): Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
| | |
| 09-01140 | 03/02/2010 | Claimant(s): Kenneth and Eleanor Nesting Living Trust
Claimant Lawyers(s): Jeffrey S. Salisbury
Respondent(s): Morgan Stanley & Co., Steve Pedersen, Steven McSharry
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): R. Lee Smith, Nina Vallion, William H. King
Hearing Site: Portland, OR
| | $235,710 |
| 09-04067 | 03/02/2010 | Claimant(s): Cleveland Foret, Joan Foret
Claimant Lawyers(s): James F. Willeford
Respondent(s): Legg Mason Wood Walker, Sterne, Agee & Leach.
Respondent Lawyers(s): Jason W. Gaarder, Meredith Jowers Lees
Arbitrator(s): Robert H. Putnam, Michael T. Nobile, William Gilbert Faulk
Hearing Site: New Orleans, LA
| | Dismissed by Rule 12206 |
| 08-02858 | 03/02/2010 | Claimant(s): Ken Sirls
Claimant Lawyers(s): Paul A. Lax
Respondent(s): Wachovia Securities, Mark Schneider, Randall Hunt
Respondent Lawyers(s): Pete S. Michaels, Stephen Young
Arbitrator(s): Robert B. Hansohn, Ivan Claman, Allan H. Colman
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04965 | 03/02/2010 | Claimant(s): George Rioseco
Claimant Lawyers(s): Peter D. St. Phillip
Respondent(s): Daniel Lofrese, John Gabelli, Gabelli & Company., Gamco Investors.
Respondent Lawyers(s): Charles J. Moxley, Jr., Joseph A. Sack
Arbitrator(s): James J. Fishman, Robert E. Holley, Gregory J. Getz
Hearing Site: New York, NY
| | $0 |
| 09-02683 | 03/02/2010 | Claimant(s): Emily Czelusniak, Joan Boutin, joint accout with Emily Cze, Linda Dudek, joint account with Emily Cz
Claimant Lawyers(s): Emily Czelusniak
Respondent(s): UBS Financial Services Inc., Peter Borrello, Richard Crews
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Lewis S. Kurlantzick
Hearing Site: Hartford, CT
| | $150 |
| 06-05227 | 03/01/2010 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Diana McMonagle
Respondent(s): Tracy Seegott
Respondent Lawyers(s): Tracy B. Seegott
Arbitrator(s): Frederick B. Mueller
Hearing Site: Phoenix, AZ
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