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
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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
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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
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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
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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
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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 |