| 06-04042 | 03/23/2009 | Claimant(s): Robert Traitz
Claimant Lawyers(s): James A. Batson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): Edith M. Novack, S. Charles Tabak, Phillip Benedetto
Hearing Site: Newark, NJ
| | |
| 07-02064 | 03/23/2009 | Claimant(s): Clark Dodge & Co..
Claimant Lawyers(s): Randle B. Carpenter
Respondent(s): Shawn Vincze
Respondent Lawyers(s): Shawn Vincze
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
| | |
| 08-03126 | 03/23/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Michael Cox
Respondent Lawyers(s): Michael D. Cox
Arbitrator(s): Lowell D. Johnston
Hearing Site: New York, NY
| | |
| 08-03140 | 03/23/2009 | Claimant(s): OptionsHouse LLC
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): Anietang Abia
Respondent Lawyers(s): Anietang Abia
Arbitrator(s): Robert R. Marquardt
Hearing Site: Dallas, TX
|  | $0 |
| 07-01450 | 03/23/2009 | Claimant(s): Joan Rockouski, Duane and Shirley A. Sanders
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Dennis Marlow
Respondent Lawyers(s): R. Craig Zafis
Arbitrator(s): Billy Kwan, David Butler, Patricia Mary Vondra
Hearing Site: Denver, CO
| | $60,000 |
| 07-01495 | 03/23/2009 | Claimant(s): Phillip Rein
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): M. Jane Matoesian
Arbitrator(s): Edwin R. Cohen, Michael L. Lyons, Albert J. Haller
Hearing Site: St. Louis, MO
| | $220,944 |
| 08-03632 | 03/23/2009 | Claimant(s): Xian Jun Yang
Claimant Lawyers(s): Xian Jun Yang
Respondent(s): Westrock Advisors.
Respondent Lawyers(s): Christopher R. Travis
Arbitrator(s): Denzil J. Klippel
Hearing Site: New York, NY
| | $1,772 |
| 05-03716 | 03/20/2009 | Claimant(s): Kirlin Securities.
Claimant Lawyers(s): Isaac M. Zucker
Respondent(s): Anthony Kirincic, David Lindner, Edward Deicke, Edward Wells, Frank Nargentino, Marcello Lattuca, Matthew Senicola, GunnAllen Financial
Respondent Lawyers(s): Isaac M. Zucker, Jay Israel, Michael Gilmore
Arbitrator(s): Philip M. Mandel, Krishna M. Vempaty, William G. Binckes
Hearing Site: New York, NY
| | |
| 07-01196 | 03/20/2009 | Claimant(s): Gary Neiens
Claimant Lawyers(s): Maureen J. Duris
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Susan B. Gans-Smith, Ronald E. Malmfeldt, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | |
| 08-00403 | 03/20/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): D. Daxton White
Respondent(s): Jon Armstrong
Respondent Lawyers(s): Jon D. Armstrong
Arbitrator(s): Douglas E. DeTata, Paul M. Foster, John Edward Bersin
Hearing Site: San Francisco, CA
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