| 06-04649 | 04/06/2009 | Claimant(s): Diane Brewer
Claimant Lawyers(s): Jules Leo Federman
Respondent(s): Keith Waibel, Timothy Tremblay
Respondent Lawyers(s): Jerry J. Howard, Robyn C. Crowther
Arbitrator(s): Karen A. Lockwood, Joseph C. Watson, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | |
| 07-02338 | 04/06/2009 | Claimant(s): Carl Busch
Claimant Lawyers(s): Joan A. Renegar
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Brian J. Hurst
Arbitrator(s): Michael R. Prescott, Kelley L. Cornelius, Carroll O. Johnson
Hearing Site: Oklahoma City, OK
| | |
| 07-02365 | 04/06/2009 | Claimant(s): Southwest Securities.
Claimant Lawyers(s): Brian J. Hurst
Respondent(s): Carl Busch
Respondent Lawyers(s): Carl W. Busch
Arbitrator(s):
Hearing Site: Oklahoma City, OK
| | |
| 08-00325 | 04/06/2009 | Claimant(s): Hyung Kim
Claimant Lawyers(s): David Marek
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Martin Hunger, Brian S. Hamburger, Lawrence B. Schiffman
Hearing Site: New York, NY
| | |
| 03-08477 | 04/06/2009 | Claimant(s): Jack Schwartz
Claimant Lawyers(s): Laurens R. Schwartz
Respondent(s): Donald Rosenthal, Citigroup Global Markets., James Schwarz
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): John A. Borgese, Samuel B. Folsom, Herbert N. Fishman
Hearing Site: New York, NY
|  | Stipulated Award and Expungement |
| 08-03232 | 04/06/2009 | Claimant(s): Willliam Frechtman
Claimant Lawyers(s): William Frechtman
Respondent(s): David Park
Respondent Lawyers(s): David Sung Wook Park
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $1,000 |
| 08-01147 | 04/03/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Aimee B. Florin
Respondent(s): Jason Bajaj
Respondent Lawyers(s): Jason V. Bajaj
Arbitrator(s): Harold I. Geringer
Hearing Site: New York, NY
| | |
| 08-01635 | 04/03/2009 | Claimant(s): Pamela Peterson, Vanky Men, William Peterson
Claimant Lawyers(s): Richard J. Gerace
Respondent(s): Jon Berg, Lisa Newman, Marc Kozberg, Michael Leonard, Richard Husebo, Oak Ridge Holding Corporation, The Oak Ridge Financial Services Group,
Respondent Lawyers(s): Christopher A. Grgurich
Arbitrator(s): Lawrence J. Welte, Judith A. Rogosheske, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | $187,380 |
| 08-00186 | 04/02/2009 | Claimant(s): Ronald Locke, Saundra Locke
Claimant Lawyers(s): Anthony B. Bingham
Respondent(s): Alex Borukhov, Scott Shapiro
Respondent Lawyers(s): Alex Borukhov, Scott A. Shapiro
Arbitrator(s): Cary L. Weissman, S. Jeffrey Minker, Albert Sterman
Hearing Site: Phoenix, AZ
| | $152,000 |
| 08-03082 | 04/02/2009 | Claimant(s): Steven Chilinski
Claimant Lawyers(s): Steven Chilinski
Respondent(s): TD Ameritrade., Patrick Rowley
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James B. Vessey
Hearing Site: Milwaukee, WI
| | $1,832 |
