| 09-02008 | 12/21/2009 | Claimant(s): Vincent Velci
Claimant Lawyers(s): Vincent Velci
Respondent(s): Sonya Logan, Scottrade.
Respondent Lawyers(s): Phyllis Hartrich
Arbitrator(s): Michael G. Clark
Hearing Site: Los Angeles, CA
|  | $213 |
| 08-02137 | 12/18/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Kathryn Bedke
Respondent(s): Stifel, Nicolaus & Co.., Frank Brand, George Stukes, Marvin Slaughter, Stephen Jones
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): J. Kirkland Grant, Frank Samuel Perri, John Wescoat Sandlin
Hearing Site: Columbia, SC
| | |
| 09-01246 | 12/18/2009 | Claimant(s): Joseph Ventura
Claimant Lawyers(s): Wayne A. Smith
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Loren Schechter
Arbitrator(s): Frank E. Wolf, Kenneth Dymond, Alan V. Iselin
Hearing Site: Albany, NY
| | |
| 09-04374 | 12/18/2009 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Leslie M. Greenspan
Respondent(s): David McDowell
Respondent Lawyers(s): David T. McDowell
Arbitrator(s): Mark Sidell
Hearing Site: Boca Raton, FL
| | |
| 08-03323 | 12/18/2009 | Claimant(s): Cheryl Seifert
Claimant Lawyers(s): Erwin Cohn
Respondent(s): David Mummery, UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Alan S. Farnell, Rita J. Jacyna Curley, Karyn Lynne Williams
Hearing Site: Chicago, IL
| | $67,000 |
| 09-01281 | 12/18/2009 | Claimant(s): Marian Zagier
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): John Forrester, Wasserman & Associates.
Respondent Lawyers(s): John Gerard Forrester, Scott B. Wasserman, Sr., President
Arbitrator(s): Janet Stern Solomon, Donald R. Giacomelli, Shelley Simons Korch
Hearing Site: Baltimore, MD
| | $116,615 |
| 08-02036 | 12/18/2009 | Claimant(s): Victoria Hyman
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Daniel Ondeck, Nicholas Diavatis, Steven Hyman, Friedman, Billings, Ramsey & Co..
Respondent Lawyers(s): Edward J. Bennett, Steven Hyman
Arbitrator(s): Alun Hywel Jones, Martin H. Zern, Nino Armienti
Hearing Site: New York, NY
| | $0 |
| 08-03742 | 12/18/2009 | Claimant(s): Arnold P. Jonas and Emma M. Jonas
Claimant Lawyers(s): Robert A. Peterson
Respondent(s): WAMU Investments., Robert Fogarty, AIG Annuity Insurance Company
Respondent Lawyers(s): Dan Marmalefsky, Stephanie L. Johnson
Arbitrator(s): Alan Stamm, Martin Mandel, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04632 | 12/17/2009 | Claimant(s): Arjent Services, Arjent US
Claimant Lawyers(s): James H. Freeman
Respondent(s): Tejash Brahmbhatt
Respondent Lawyers(s): Tejash Brahmbhatt
Arbitrator(s): Hugh N. Fryer, Michael C. Farkas, Richard Lee Mansdoerfer
Hearing Site: New York, NY
| | |
| 09-01697 | 12/17/2009 | Claimant(s): Charles Lellman
Claimant Lawyers(s): Gregg Mele
Respondent(s): Granta Capital Group LLC
Respondent Lawyers(s): Francis Duffy
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | |
