09-00442 | 08/03/2009 | Claimant(s): Rohan Russell Claimant Lawyers(s): Rohan Russell Respondent(s): Northgate Securities Inc. Respondent Lawyers(s): Robert Yrshus Arbitrator(s): Elizabeth K. Norsworthy Hearing Site: Buffalo, NY
| | $9,325 |
06-03133 | 08/03/2009 | Claimant(s): Ronald Marks Claimant Lawyers(s): Walter D'Ull Respondent(s): MBSC Securities Corporation Respondent Lawyers(s): Ronald Shingh Arbitrator(s): Richard D. Gueren, Allan E. Johnson, Ernesto V. Luzzatto Hearing Site: New York, NY
| | $0 |
09-00700 | 08/03/2009 | Claimant(s): Michael Castle Claimant Lawyers(s): Michael E. Castle Respondent(s): Charles Huff, Fifth Third Securities. Respondent Lawyers(s): Robert M. Zimmerman Arbitrator(s): Jason C. Blackford Hearing Site: Columbus, OH
| | $0 |
07-01543 | 07/31/2009 | Claimant(s): Eugene Marquardt Claimant Lawyers(s): David W. Neel Respondent(s): Brian Brennan, John Schlifer, Patricia Wyant, KeyBanc Capital Markets., KeyCorp Respondent Lawyers(s): Jeffrey S. Dunlap Arbitrator(s): James Dale Ellis, Robert M. Shwab, John C. Aten Hearing Site: Cleveland, OH
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08-01524 | 07/31/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Thomas G. Stack Respondent(s): Jeffrey Boettcher Respondent Lawyers(s): Mark Chester Arbitrator(s): Katherine M. Harmeyer, Douglas E. McArthur, Allan D. Breyer Hearing Site: Phoenix, AZ
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08-02433 | 07/31/2009 | Claimant(s): Bevery Hills Bank & Trust Company, Wayne Hummer Investments LLC Claimant Lawyers(s): Melvin G. Moseley Respondent(s): Daniel Hack, Citigroup Global Markets., Mary Anderson, Marybeth Oconnor, Michelle Hughes, Patricia Marsh, Phillip Burno, Tracy Polselli Respondent Lawyers(s): Tiffany C. Woodie Arbitrator(s): Richard G Clemens, Joy Pava Shulruff, Rody P. Biggert Hearing Site: Chicago, IL
| | Expungement |
08-03853 | 07/31/2009 | Claimant(s): Bernard Cohen Claimant Lawyers(s): David J. Butler Respondent(s): Estate of Joseph Moreno Respondent Lawyers(s): Jay Moreno Arbitrator(s): Linda T. Pellegrino, Nicholas J. Chopey, Kenneth J. Horowitz Hearing Site: Newark, NJ
| | Expungement |
08-04188 | 07/31/2009 | Claimant(s): CCO Investment Services Corp. Claimant Lawyers(s): David M. Belcher Respondent(s): Carlos Martinez Respondent Lawyers(s): Carlos Alberto Martinez Arbitrator(s): Cheryl Feldman, Martin H. Zern, Adelfa Ann Lugo Hearing Site: New York, NY
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08-04600 | 07/31/2009 | Claimant(s): Susan Regan, Susan M. Regan Trust Claimant Lawyers(s): Robert W. Hutchinson Respondent(s): Scott Kozak, Multi-Financial Securities Corporation Respondent Lawyers(s): William D. Nelson Arbitrator(s): Marc H. Schtul, Marilyn R. Lewis, Lawrence Douglas Brookes Hearing Site: Denver, CO
| | $52,050 |
08-00658 | 07/30/2009 | Claimant(s): Jonathan Horne, Patricia Horne, JPH Enterprises, Vance B. Forsgren Family Trust Claimant Lawyers(s): Jerome Romero Respondent(s): Albert Alvey, Kevin Kunz, Investment Management Corporation Respondent Lawyers(s): Kevin D. Kunz, William H. Christensen Arbitrator(s): Richard J. Lawrence, John G. Manley, James D. Searles Hearing Site: Salt Lake City, UT
| | $500,375 |