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
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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
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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 |