| 09-00423 | 11/30/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher C. Young
Respondent(s): Raymond Jackson
Respondent Lawyers(s): Gregory N. Finnerty
Arbitrator(s): Peter L. Pointer, Charles D. Underwood, Regina F. Burch
Hearing Site: Columbus, OH
| | |
| 09-01681 | 11/30/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bernard Cerrone
Respondent Lawyers(s): Bernard John Cerrone
Arbitrator(s): Christine Armstrong, Michael L. Letendre, John B. Dew
Hearing Site: Augusta, ME
| | |
| 09-01805 | 11/30/2009 | Claimant(s): Merlin Securities
Claimant Lawyers(s): Jonathan W. Hughes
Respondent(s): Traunche Global Micro Fund
Respondent Lawyers(s): Evan A. Vaughan
Arbitrator(s): Eva H. Posman, Eric S. Hutner, Mary Ellen Burns
Hearing Site: New York, NY
|  | $0 |
| 07-03399 | 11/30/2009 | Claimant(s): Brian Kenner, Kathleen Kenner, BKK Acquisition II, BKK Acquisition III, BKK Holdings
Claimant Lawyers(s): Michael Hume, Richard J. Edson
Respondent(s): Deutsche Bank Securities., Fred Crozier, William Conn
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Harvey C. Flodin, Anatoly "Tony" Zuban, James J. Dobbin
Hearing Site: San Diego, CA
| | $500,000 |
| 09-00086 | 11/30/2009 | Claimant(s): Altynai Berksoy, Volkan Berksoy
Claimant Lawyers(s): Volkan Berksoy
Respondent(s): Daniel Clark, Ameriprise Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Thomas E. Shuck, Philip H. Marmurowski, Gregory B. Wood
Hearing Site: Las Vegas, NV
| | $0 |
| 09-01419 | 11/30/2009 | Claimant(s): Mary Gordon
Claimant Lawyers(s): Mary K. Gordon
Respondent(s): Jeffrey Endicott
Respondent Lawyers(s): Amy B. Boyea
Arbitrator(s): Bruce S. Feldacker
Hearing Site: St. Louis, MO
| | $0 |
| 08-02090 | 11/25/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): John Lagattuta
Respondent Lawyers(s): Charles K. Webster
Arbitrator(s): Bert S Cliff, N. John Marinack, David Darrah
Hearing Site: Cleveland, OH
| | |
| 07-03633 | 11/25/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): CRL Management
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Joseph L. Bernstein, Lewis J. Levey, Robert Charles Stamm
Hearing Site: Miami, FL
| | $0 |
| 09-03308 | 11/25/2009 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Kristina Goldfield
Respondent Lawyers(s): Kristina Goldfield
Arbitrator(s): Richard R. Logsdon
Hearing Site: Clearwater, FL
| | |
| 08-00273 | 11/25/2009 | Claimant(s): Edmund Gann, Edmund A. Gann Trustee
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Andrew Geller, James Shelburne, UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb, Payne L. Templeton
Arbitrator(s): Judith A. Gust, Robert L. Levin, Joseph T. Donnantuoni
Hearing Site: San Diego, CA
| | $60,000 |
