| 08-00450 | 08/28/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Robert Lobel
Respondent Lawyers(s): David R. Hagen
Arbitrator(s): Philip W. Burge, Blaine Smith, Christine A. Page
Hearing Site: Los Angeles, CA
| | |
| 08-02509 | 08/28/2009 | Claimant(s): Terrance Solomone
Claimant Lawyers(s): Jonathan R. Sack
Respondent(s): IDX Capital, IDX Derivatives
Respondent Lawyers(s): Jeffrey A. Udell
Arbitrator(s): Larry A. Kimmel, Burton M. Fendelman, Michael J. Contrastano
Hearing Site: New York, NY
| | |
| 09-01339 | 08/28/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mitchell Albert
Respondent(s): Elyahou Asherian
Respondent Lawyers(s): Elyahou Asherian
Arbitrator(s): Robert C. Albini
Hearing Site: Los Angeles, CA
|  | |
| 08-01325 | 08/28/2009 | Claimant(s): Olivia Herman
Claimant Lawyers(s): Frederick Herman
Respondent(s): Colleen Langs, Charles Schwab & Co.., Marcia Novick
Respondent Lawyers(s): Cameron Stout
Arbitrator(s): Carlos Richard Mangum, James N. D'Orso, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 07-02973 | 08/27/2009 | Claimant(s): Kathleen Ternes, Marshall Glass, Richard Barnes, Keith and Rebecca Clower, Larry and Ellen Sagal
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Marco Caporale, Kovack Securities.
Respondent Lawyers(s): George L. Guerra, Marco Allessandro Caporale
Arbitrator(s): Samuel J. Henderson, Sharon Lee Chernin, David F. Simon
Hearing Site: Tampa, FL
| | $530,000 |
| 08-01771 | 08/27/2009 | Claimant(s): Cheryl Gans, Jody Gans, Louis Gans
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wedbush Securities Inc., Wachovia Securities, Debbie Saleh, Joseph Rubenstein, UBS Financial Services Inc.
Respondent Lawyers(s): Debbie Saleh, John W. Stenson, Michael J. Abbott, Payne L. Templeton
Arbitrator(s): Alan Stamm, Robert J. Ruben, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-04957 | 08/27/2009 | Claimant(s): Sally Geis
Claimant Lawyers(s): Jim Geis
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): John Fleming Kelly, Peter D. Bowes, Charles A. Newton
Hearing Site: Denver, CO
| | $100,225 |
| 08-01048 | 08/27/2009 | Claimant(s): Barbara Myers
Claimant Lawyers(s): Matthew W. Woodruff
Respondent(s): Gary Goldberg, Gary Goldberg & Co..
Respondent Lawyers(s): Gary Goldberg
Arbitrator(s): Edward S. Bradley, Kip C. Lubcke, Brian J. Burstin
Hearing Site: New York, NY
| | $0 |
| 07-00870 | 08/26/2009 | Claimant(s): Clark Dodge & Co..
Claimant Lawyers(s): Daniel Branower
Respondent(s): Richard Sonkin
Respondent Lawyers(s): Mark J. Astarita
Arbitrator(s): David N. Brainin, Michael G. Shannon, William G. Binckes
Hearing Site: New York, NY
| | |
| 07-02582 | 08/26/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Eun-Joo Chang
Respondent Lawyers(s): Ekwan E. Rhow
Arbitrator(s): Alexander L. Mazour, Carol Ann Jensen, Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
