| 08-03207 | 01/13/2010 | Claimant(s): Fordham Financial Management.
Claimant Lawyers(s): Brian Neville
Respondent(s): John Alejos
Respondent Lawyers(s): Juan C. Alejos
Arbitrator(s): Daniel B. Berkson, John P. Bevilacqua, Arthur D. Felsenfeld
Hearing Site: New York, NY
| | |
| 08-04065 | 01/13/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Steven Newman
Respondent Lawyers(s): Steven Arthur Newman
Arbitrator(s): Edith M. Novack, Simone A. Muscarnera, Jeffrey H. Rosenthal
Hearing Site: Newark, NJ
| | |
| 09-01586 | 01/13/2010 | Claimant(s): John Busacca
Claimant Lawyers(s): John Brian Busacca
Respondent(s): Bruce Blatman, Timothy Ward
Respondent Lawyers(s): Bruce W. Barnes, Timothy Ward
Arbitrator(s): David M. Snyder
Hearing Site: Orlando, FL
| | |
| 09-04000 | 01/13/2010 | Claimant(s): Antonio Lisi
Claimant Lawyers(s): Antonio Lisi
Respondent(s): Conseco Financial Services., Conseco Inc.
Respondent Lawyers(s): Josh F. Brown
Arbitrator(s): Daniel P. Lund
Hearing Site: Newark, NJ
| | |
| 08-02791 | 01/13/2010 | Claimant(s): Laura Quigley
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): Ralph Saviano
Respondent Lawyers(s): Barry R. Temkin
Arbitrator(s): AnnMarie Miller, Douglas John Baumann, Robert J. McDonnell
Hearing Site: Newark, NJ
|  | $5,500 |
| 09-00877 | 01/13/2010 | Claimant(s): Frank Lopez, Frank R. Lopez Living Trust
Claimant Lawyers(s): David Harrison
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert C. Albini
Hearing Site: Los Angeles, CA
| | $0 |
| 08-00944 | 01/11/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Sue Lee
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): Audrey H. Ruben, James S. Carlson, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | |
| 08-02238 | 01/08/2010 | Claimant(s): Diane Resch
Claimant Lawyers(s): Arnold Y. Steinberg
Respondent(s): Oppenheimer & Co.., Philip Cimino, William Resch
Respondent Lawyers(s): Arnold Y. Steinberg, Peter Byer
Arbitrator(s): Karl F. Meyers, Marc A. Winters, James G. Kirk
Hearing Site: Pittsburgh, PA
| | Stipulated Award and Expungement |
| 09-00745 | 01/08/2010 | Claimant(s): E. Gunter
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Michael Segal, Steve Morris, Thomas ONeill, Whitaker Securities LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Peter B. Vaden, William F. Etherington, John Kevin Williams
Hearing Site: Richmond, VA
| | Stipulated Award |
| 09-02077 | 01/08/2010 | Claimant(s): Mark Kielar, Tammy Kielar, ACTS Capital Investments
Claimant Lawyers(s): Scott J. Link
Respondent(s): Alterna Capital Corp.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Stuart Harvey Ziegler, Sydney E. Blum, Stephen Farquhar Adams
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
