| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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 |
