| 07-03606 | 11/19/2008 | Claimant(s): Reynolds Ospina
Claimant Lawyers(s): Thomas E. Duckworth
Respondent(s): Instinet
Respondent Lawyers(s): Robert S. Shwarts
Arbitrator(s): Katherine M. Van Hagan, Joseph A. Lasky, David I. Levine
Hearing Site: San Francisco, CA
| | |
| 08-01837 | 11/19/2008 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Will Stute
Respondent(s): Edward Baxter
Respondent Lawyers(s): Edward Antheal Baxter
Arbitrator(s): Charles T. Dix
Hearing Site: Dallas, TX
| | |
| 07-03209 | 11/19/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): David Gottlieb
Respondent Lawyers(s): David Gottlieb
Arbitrator(s): Alfred H. Kingon
Hearing Site: New York, NY
|  | $0 |
| 08-00841 | 11/19/2008 | Claimant(s): Emily Martin Revocable Living Trust
Claimant Lawyers(s): Brett Alcala
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Thomas C. McNally, David R. Finch, Mary H. Evans
Hearing Site: San Francisco, CA
| | $105,550 |
| 07-00268 | 11/18/2008 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Erin K. Linehan
Respondent(s): Joseph Duerr
Respondent Lawyers(s): Russell Penzer
Arbitrator(s): Suzanne E. Mowry, Jerry A. Desiderio, Jonathan Seth Robbins
Hearing Site: Boca Raton, FL
| | |
| 07-01210 | 11/18/2008 | Claimant(s): Aura Financial Services.
Claimant Lawyers(s): David H. Lichter
Respondent(s): Dipin Mala, Eric Blum, Harsh Jayaswal, Irving Burstein, Ivan Angulo, Kamlesh Lalwani, Nitin Bahirwani, Niyukt Bhasin, Rohit Khemka, Sandeep Singh, Shondeep Balchandani, Sidhar Dhawan, Timothy Gautney, NSM Securities.
Respondent Lawyers(s): David H. Lichter, Harry J. Delagrammatikas
Arbitrator(s):
Hearing Site: Boca Raton, FL
| | |
| 07-01659 | 11/18/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Lee Weissman
Respondent Lawyers(s): Lee Weissman
Arbitrator(s): Bonny Kathleen Riggs, Thomas D. Cochran, Montgomery G. Griffin
Hearing Site: Honolulu, HI
| | $0 |
| 08-00011 | 11/18/2008 | Claimant(s): Lois Grant
Claimant Lawyers(s): Lois A. Grant
Respondent(s): Dave Samuels, Sagepoint Financial.
Respondent Lawyers(s): Barry R. Temkin
Arbitrator(s): Robin Lynn Berry
Hearing Site: San Francisco, CA
| | $0 |
| 04-03134 | 11/17/2008 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): CIBC World Markets Corp., Sami Daher
Respondent Lawyers(s): Joseph J. Sullivan, Sami N. Daher
Arbitrator(s): Steven Samson, John E. Sundeen, A. Brad Busscher
Hearing Site: Chicago, IL
| | |
| 05-02827 | 11/17/2008 | Claimant(s): CIBC World Markets Corp.
Claimant Lawyers(s): Matthew L. Mustokoff
Respondent(s): Michael Sassano
Respondent Lawyers(s): Mitchell S. Cohen
Arbitrator(s): Jerome H. Levy, Alice J. P. Lee-Getman, Allen H. Green
Hearing Site: New York, NY
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