| 07-03630 | 01/07/2010 | Claimant(s): Ronald Ostlund
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Joseph Sorbara, Linda Chudnoff, Peter Orthos, Steven Markowitz, Joseph Stevens & Company.
Respondent Lawyers(s): Joseph Sorbara, Linda E. Chudnoff, Peter C. Orthos, Steven A. Markowitz
Arbitrator(s): Martin Mandel, John Alen DeRosa, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
|  | $220,000 |
| 08-04652 | 01/06/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Lisa Alvarado
Respondent Lawyers(s): Jennifer L. Bergman
Arbitrator(s): Mobley E. Cox, Martin Samuel Altimore, JoAnn McEwan
Hearing Site: Houston, TX
| | |
| 08-04756 | 01/06/2010 | Claimant(s): Ian Fay
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): BNP Paribas, BNP Paribas Securities Corp.
Respondent Lawyers(s): Richard J. Reibstein
Arbitrator(s): Lise Gabrielle Hunter, W. Jeffrey Weinlandt, Abigail J. Pessen
Hearing Site: New York, NY
| | |
| 09-04323 | 01/06/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Wesley Fracker
Respondent Lawyers(s): Wesley A. Fracker
Arbitrator(s): John R. Main
Hearing Site: Detroit, MI
| | |
| 08-03849 | 01/06/2010 | Claimant(s): James Dyko and Diane Dyko, JTWROS
Claimant Lawyers(s): John E. Sutherland
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Jack A. Marshall, Nickolas F. Monteforte, Andrea J. Goldman
Hearing Site: Boston, MA
| | $15,000 |
| 07-01736 | 01/05/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David L. Ward
Respondent(s): James Dowd, John McMahon, Morgan Stanley & Co., Mark Brown, Todd Walker
Respondent Lawyers(s): Michael L. Chinitz, Michael L. Rosen
Arbitrator(s): John R. Thompson, Sandor I. Rabkin, Thomas J. Horack
Hearing Site: Boston, MA
| | |
| 08-02295 | 01/05/2010 | Claimant(s): Thomas Engelhard
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Hartford Equity Sales Copany Inc.
Respondent Lawyers(s): Peter R. Bulmer
Arbitrator(s): Thomas F. Mahoney, Kenneth J. Good, Harvey R. Herman
Hearing Site: Chicago, IL
| | |
| 08-03001 | 01/05/2010 | Claimant(s): Jarod Winters
Claimant Lawyers(s): David Kleinmann
Respondent(s): Barclays Capital.
Respondent Lawyers(s): John F. Fullerton
Arbitrator(s): Larry A. Kimmel, Keely D. Parr, John G. Kennedy
Hearing Site: New York, NY
| | |
| 08-03828 | 01/05/2010 | Claimant(s): Brenda Benoit
Claimant Lawyers(s): Jacob Zamansky
Respondent(s): J.P. Morgan Securities., John Spohler
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Daniel J. McCarthy, Steven M. Bloom, David Marcus
Hearing Site: New York, NY
| | $0 |
| 09-00355 | 01/04/2010 | Claimant(s): Robert Kelly
Claimant Lawyers(s): Robert J. Kelly
Respondent(s): Titus & Donnelly LLC
Respondent Lawyers(s): John G. Kimberlin
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | |
