| 08-03083 | 07/02/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Jeremy Wisniewski
Respondent Lawyers(s): Jeremy Anthony Wisniewski
Arbitrator(s): Linda R. Alpert, Joseph N. Stineman, Eric J. Sussman
Hearing Site: New York, NY
| | |
| 07-03418 | 07/01/2009 | Claimant(s): Robert Knox
Claimant Lawyers(s): Craig H. Howe
Respondent(s): Zions Bancorporation., Zions Direct., Zions First National Bank
Respondent Lawyers(s): J. Benjamin King, Richard Janvey
Arbitrator(s): William A. Hohauser, John J. Duval, Henry C. Malon
Hearing Site: New York, NY
| | |
| 08-02086 | 07/01/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Peter Dolan
Respondent Lawyers(s): Robert A. Boncore
Arbitrator(s): Dallas Whitney Coffman, Stephen Z. Frank, John Joseph Cotter
Hearing Site: Boston, MA
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| 08-03700 | 07/01/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Kiran V. Somashekara
Respondent(s): John Lee
Respondent Lawyers(s): John M Lee
Arbitrator(s): Nathan J. Minucci
Hearing Site: Newark, NJ
| | |
| 07-03530 | 07/01/2009 | Claimant(s): Leon Farber
Claimant Lawyers(s): Stuart Meissner
Respondent(s): Barry Kornfeld
Respondent Lawyers(s): Barry M. Kornfeld
Arbitrator(s): Carolyn A. Mann, Jettie K. Thomas, Mark J. Happe
Hearing Site: New York, NY
|  | Stipulated Award and Expungement |
| 08-02517 | 07/01/2009 | Claimant(s): Rosalin Rogers, George R. Joyce and Dorothy R. Joyce, Mark L. Thompson Trust
Claimant Lawyers(s): John Courtade
Respondent(s): United Securities Alliance.
Respondent Lawyers(s): Brenda N. Hight
Arbitrator(s): George H. Reeves, Suanne M. Parro, Federico C. Alvarez
Hearing Site: Denver, CO
| | $830,409 |
| 08-02881 | 06/30/2009 | Claimant(s): Carlos Reisen
Claimant Lawyers(s): William A. Healy
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Philip C. Johnston, Alex H. Keller, Marilyn R. Rathbun
Hearing Site: Cincinnati, OH
| | |
| 08-03205 | 06/30/2009 | Claimant(s): Jaime Diaz, Worldwide Wealth Management Corp.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Kenneth Thom
Respondent Lawyers(s): Kenneth Thom
Arbitrator(s): David Denison
Hearing Site: New York, NY
| | |
| 09-00911 | 06/30/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Willie Brice
Respondent Lawyers(s): Willie J. Brice
Arbitrator(s): Joel Margolies
Hearing Site: Boca Raton, FL
| | |
| 08-00086 | 06/30/2009 | Claimant(s): Peter Ramos and Karen Ramos
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Genworth Financial Securities Corporatio
Respondent Lawyers(s): Richard D. De Vita
Arbitrator(s): Alan Shaw, Philip Rachmelowitz, Stephen L. Lister
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
