07-02813 | 04/17/2009 | Claimant(s): Mary Colunga Claimant Lawyers(s): William Hopkins Respondent(s): Andrew Longoria, Capital Financial Services., GunnAllen Financial., LRS Investments Respondent Lawyers(s): Janiece M. Longoria, Jay Marc Israel, Robert Tyler Arbitrator(s): Morris Rubin, Sherry R. Wetsch, Larry J. Craddock Hearing Site: Houston, TX
| | $47,500 |
08-00381 | 04/17/2009 | Claimant(s): Pana Merchant Claimant Lawyers(s): Matthew Clement Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Bruce W. Day Arbitrator(s): Michael L. Lyons, R. Phillip Reed, Michael William Petty Hearing Site: St. Louis, MO
| | $0 |
08-04010 | 04/17/2009 | Claimant(s): Seth D. Rose and Louise Rose Claimant Lawyers(s): Seth Rose Respondent(s): John Dolan, UBS Financial Services Inc. Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): Martin H. Zern Hearing Site: New York, NY
| | $213 |
06-03789 | 04/16/2009 | Claimant(s): John Gaffney Claimant Lawyers(s): Richard A. Herman Respondent(s): Andrew Grillo, George Batelli Jr., Citigroup Global Markets., Maribeth Robinson, Peter Liebeskind, Steven Torrico Respondent Lawyers(s): Christopher M. Galusha, Kevin B. Walker Arbitrator(s): Charles A. Crocco, Marguerite B. Filson, Howard Breindel Hearing Site: Newark, NJ
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08-00123 | 04/16/2009 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): J. Michael Riordan Respondent(s): Joseph Delaura Respondent Lawyers(s): Barry R. Lax Arbitrator(s): Douglas John Baumann, Norman Kass, Robert Alan Mayer Hearing Site: Newark, NJ
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08-00344 | 04/16/2009 | Claimant(s): Joseph Delaura Claimant Lawyers(s): Barry R. Lax Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Kenneth O'Connor Arbitrator(s): Hearing Site: Newark, NJ
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08-00453 | 04/16/2009 | Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Ronald P. Kane Respondent(s): William Winston Respondent Lawyers(s): Ethan Chernin Arbitrator(s): Robert S. Fash, Kenneth I. Rosenblum, Ronald E. Ogden Hearing Site: Los Angeles, CA
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08-01592 | 04/16/2009 | Claimant(s): Albert Vacchiano Claimant Lawyers(s): Kathleen Peratis Respondent(s): Amerivest Partners, Bay Crest Partners, Freedom Holding Group Respondent Lawyers(s): Anthony J. DiOrio Arbitrator(s): Bruce K. Isenberg, Mae A. Brudner, Kathleen Cawley Hearing Site: New York, NY
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08-01009 | 04/16/2009 | Claimant(s): Cass Shewbart Claimant Lawyers(s): Cass Shewbart Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Diane M. Brown Arbitrator(s): George A. Sellnau Hearing Site: Houston, TX
| | $5,213 |
04-00772 | 04/16/2009 | Claimant(s): Isabelita Nopuente, OB1 Ltd Claimant Lawyers(s): James Jay Seltzer Respondent(s): Cornelius Choy, H.D. Vest Investment Services Respondent Lawyers(s): Gary S. Kessler, Robert T. Sullwold Arbitrator(s): Thomas H. O'Connor, Peter H. Daly, Joseph A. Lasky Hearing Site: San Francisco, CA
| | $0 |