| 08-04333 | 10/20/2009 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Lawyers(s): David P. Muth
Respondent(s): Bradford Marshall, Robert Gesdorf, Shelagh Stewart, Thomas Palmer
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Peter J. Lavezzoli, Roy B. Gonas, Herbert Branitsky
Hearing Site: Ft. Lauderdale, FL
| | |
| 09-02813 | 10/20/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph D. MacLellan
Respondent(s): Kirk Barrett
Respondent Lawyers(s): Kirk Christopher Barrett
Arbitrator(s): Thomas J. Donoghue
Hearing Site: Boston, MA
| | |
| 08-02809 | 10/20/2009 | Claimant(s): Isidore Mayrock, General Partner of REI
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Citigroup Global Markets., Citicorp Investment Services
Respondent Lawyers(s): David J. Butler
Arbitrator(s): J. Martin McDonough, Frank Irizarry, Bernard A. Friedman
Hearing Site: New York, NY
|  | $754,000 |
| 09-01982 | 10/20/2009 | Claimant(s): Priscila Martins
Claimant Lawyers(s): Priscila Martins
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Guy K. Stewart
Hearing Site: Orlando, FL
| | $2,488 |
| 08-03486 | 10/20/2009 | Claimant(s): Banco Industrial De Venezuela Miami Agen
Claimant Lawyers(s): Barton S. Sacher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): H. Nicholas Berberian
Arbitrator(s): John J. Hearn, James Conrad Sankpill, Christopher J. Klein
Hearing Site: Miami, FL
| | $0 |
| 08-04616 | 10/20/2009 | Claimant(s): Ravindra Sheth
Claimant Lawyers(s): Ravindra Sheth
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Chandler R Bridges, George S. Willingham, John D. Mattingly
Hearing Site: Atlanta, GA
| | $0 |
| 09-02600 | 10/20/2009 | Claimant(s): Norma Parker
Claimant Lawyers(s): Norma Parker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Steven J. Feldman
Hearing Site: Los Angeles, CA
| | $0 |
| 08-02765 | 10/19/2009 | Claimant(s): Stephen Bull, Bull Capital Management n/k/a Next
Claimant Lawyers(s): Valerie Lynn Bailey-Rihn
Respondent(s): James Shaw, J.W. Shaw Group.
Respondent Lawyers(s): Vincent E. Nowak
Arbitrator(s): Richard B. Bequette, Ernest F. Modzelewski, Michael F. Patterson
Hearing Site: Phoenix, AZ
| | |
| 08-04684 | 10/19/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John McGuire
Respondent(s): Peter Balint
Respondent Lawyers(s): Peter Balint
Arbitrator(s): Linda R. Alpert, Jack Steiner, Kenneth F. Leder
Hearing Site: New York, NY
| | |
| 09-02809 | 10/19/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Michael Wheatley
Respondent Lawyers(s): Michael J. Wheatley
Arbitrator(s): Patrick J. Burley
Hearing Site: Cincinnati, OH
| | |
