| 08-04754 | 08/10/2009 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Allan N. Taffet
Respondent(s): Investment Hunter
Respondent Lawyers(s): Richard A. Lewins
Arbitrator(s): Robert L. Yeager, Charles T. Dix, James W. Kerr
Hearing Site: Dallas, TX
|  | $0 |
| 08-02640 | 08/10/2009 | Claimant(s): Virginia G. Stevens & Ben R. Stevens
Claimant Lawyers(s): James C. Alison
Respondent(s): Gerald Hester, Colonial Brokerage.
Respondent Lawyers(s): Larry B. Childs
Arbitrator(s): Steven P. Gregory, Randy J. Johnston, Debra Black Leo
Hearing Site: Birmingham, AL
| | $0 |
| 08-04942 | 08/10/2009 | Claimant(s): Michael Leonard
Claimant Lawyers(s): Michael W. Leonard
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Andrew Lipton
Arbitrator(s): James P. McCrocklin
Hearing Site: Louisville, KY
| | $0 |
| 08-02357 | 08/07/2009 | Claimant(s): ABS Brokerage Services, Iseroute, Llc, Pro Securities, L.L.C.
Claimant Lawyers(s): Carl M. Greenfeld
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Donald J. Rasweiler, Arthur P. Fisch, Douglas F. Stone
Hearing Site: New York, NY
| | |
| 08-03925 | 08/07/2009 | Claimant(s): W.D. David
Claimant Lawyers(s): J. Pat Sadler
Respondent(s): Man Financial.
Respondent Lawyers(s): Philip Tanzar
Arbitrator(s): William Edmund Burke, Daniel E. Gulden, Arthur Thomas Stephenson
Hearing Site: Atlanta, GA
| | $90,000 |
| 08-04913 | 08/06/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Robert Slowik
Respondent Lawyers(s): Robert J. Slowik
Arbitrator(s): Richard C. Moenning, A. Brad Busscher, Jack L. Karp
Hearing Site: Chicago, IL
| | |
| 08-00472 | 08/06/2009 | Claimant(s): Donald Halfmann, Patricia Halfmann
Claimant Lawyers(s): John J. Miller
Respondent(s): VFinance Investments.
Respondent Lawyers(s): Adam H. Smith
Arbitrator(s): Michael D. Fitzgerald, Michael A. Kleinman, Robert John McElwain
Hearing Site: Kansas City, MO
| | $759,800 |
| 08-01600 | 08/06/2009 | Claimant(s): James Bach, James Bach Rev. Living Trust UAD 11/4/93
Claimant Lawyers(s): Steve J. Gard
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): George R. Canty, Seth L. Finkel, Andrew David Kahng
Hearing Site: Miami, FL
| | $250,000 |
| 08-04585 | 08/06/2009 | Claimant(s): Harold Kozupsky, Jeanette Kozupsky, Harold and Jeanette Kozupsky, IRA, Harold Kozupsky and Jeanette Kozupsky
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): George Gladman, Ronald Slevin, RBC Dain Raucher
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): John F. Duane, Alvin Green, James D. Yellen
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 08-03607 | 08/06/2009 | Claimant(s): Scottrade.
Claimant Lawyers(s): Thomas L. Azar
Respondent(s): Elisei Chereji
Respondent Lawyers(s): Joseph Soraghan
Arbitrator(s): Albert J. Haller, David B. Lacks, Daniel J. Marsh
Hearing Site: St. Louis, MO
| | $0 |
