| 08-00844 | 12/11/2009 | Claimant(s): David Aquilina
Claimant Lawyers(s): Daniel W. Rucker
Respondent(s): Daniel Mooradian, Gary Jbara, Citigroup Global Markets., Jessie Collins-Rehil, Lewis Walterhouse, Mark Rogers, Robert Bradley, Thomas Welch
Respondent Lawyers(s): Jerry M. Santangelo
Arbitrator(s): Jeffry M. Bauer, Carole M. Crosby, Harold Hood
Hearing Site: Detroit, MI
| | |
| 09-00625 | 12/11/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Guillermo Forero
Respondent Lawyers(s): Guillermo Forero
Arbitrator(s): Neil J. Berman
Hearing Site: Ft. Lauderdale, FL
| | |
| 09-01241 | 12/11/2009 | Claimant(s): Nicholas Weiss
Claimant Lawyers(s): Stephen J. Nelson
Respondent(s): Saratoga Capital d/b/a Saratoga Cap
Respondent Lawyers(s): Kim Lauren Michael
Arbitrator(s): Saul W. Nirenberg, Sandra Gale Behrle, Robert S. Getman
Hearing Site: New York, NY
| | |
| 08-04669 | 12/11/2009 | Claimant(s): Mark Perlman
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): Michael Lau, Charles Hoffman, Randi Perry Spallina
Hearing Site: Boca Raton, FL
|  | $43,357 |
| 08-00648 | 12/11/2009 | Claimant(s): Augustus Capers, Gertrude Capers
Claimant Lawyers(s): Gertrude H. Capers
Respondent(s): Quest Capital Strategies., Ridge Clearing & Outsourcing Solutions
Respondent Lawyers(s): Louis H. Miron
Arbitrator(s): Kip C. Lubcke, Margaret Leggett Tarver, Chris H. Naum
Hearing Site: Newark, NJ
| | $0 |
| 07-00680 | 12/10/2009 | Claimant(s): Kevin LeBlanc, Robert Berg
Claimant Lawyers(s): Jim L. Batson
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Robert L. Nisely, Christine Moore, Keith Eric Bettencourt
Hearing Site: New York, NY
| | |
| 08-03834 | 12/10/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bradley Stipp
Respondent Lawyers(s): Fred B. Monroe
Arbitrator(s): Charles Glass Smith, Barry M. Cheren, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | |
| 09-00067 | 12/10/2009 | Claimant(s): George Rumelt
Claimant Lawyers(s): George L. Rumelt
Respondent(s): David Lerner Associates., John Fielding
Respondent Lawyers(s): Joseph C. Pickard
Arbitrator(s): Richard A. Jacobs
Hearing Site: New York, NY
| | $10,000 |
| 09-01309 | 12/10/2009 | Claimant(s): Peter Lucido
Claimant Lawyers(s): Peter J. Lucido
Respondent(s): Oppenheimer & Co.., Mark Miriani
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Jeffry M. Bauer, Harvey Frank, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
| | $30,225 |
| 07-02258 | 12/10/2009 | Claimant(s): Charles Costanzo
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Morgan Stanley & Co., Ronald Harris
Respondent Lawyers(s): Christopher M. Wilson
Arbitrator(s): E. William Pastor, Kenneth Joseph Beahan, Joseph Grant McCabe
Hearing Site: Philadelphia, PA
| | $0 |
