05-05322 | 11/11/2008 | Claimant(s): Ehrenkrantz King Nussbaum Claimant Lawyers(s): Anthony Ottimo Respondent(s): Anthony Ottimo, Edward Short, George Tamborello, Robert Ciaccio, Thomas Giugliano, Thomas O'Neill, Empire Financial Group Inc. Respondent Lawyers(s): George M. Tamborello, Neil S. Baritz, Robert M. Bursky Arbitrator(s): Henry F. Minnerop, Carroll E. Neesemann, Michael E. Silverman Hearing Site: New York, NY
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08-00102 | 11/11/2008 | Claimant(s): Hong Chan Claimant Lawyers(s): Wai Mon Chan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Oren L. Connaway Hearing Site: Houston, TX
| | $8,614 |
07-02546 | 11/10/2008 | Claimant(s): Roger Anderson Claimant Lawyers(s): Joan A. Renegar Respondent(s): Southwest Securities. Respondent Lawyers(s): Bryan J. Hurst Arbitrator(s): G. Dale McKissick, Daniel A. Kile, Edward J. Lynch Hearing Site: Dallas, TX
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08-01171 | 11/10/2008 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Will Stute Respondent(s): Christopher Weighart Respondent Lawyers(s): Christopher Grey Weighart Arbitrator(s): Michael Quarto Hearing Site: Philadelphia, PA
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08-01203 | 11/10/2008 | Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Diane C. Fischer Respondent(s): James Maurice Respondent Lawyers(s): James Kenneth Maurice Arbitrator(s): Roger D. Johnson Hearing Site: Des Moines, IA
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08-01545 | 11/10/2008 | Claimant(s): Dawson James Securities. Claimant Lawyers(s): Monique MacLaren Respondent(s): Chanchal Mehta Respondent Lawyers(s): Chanchal Mehta Arbitrator(s): Ronald H. Walton Hearing Site: Boca Raton, FL
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07-01990 | 11/10/2008 | Claimant(s): Benjamin Dwork, Ilene Bernik, Jeremy Dwork, Joann Dwork, Joshua Dwork, Matthew Dwork, Paul Dwork, Bernik Exemption Trust, Bernik Marital Trust, Ilene Dwork Bernik 2005 Revocable Trus, Paul & Joann R. Dwork Trust dtd 6/6/89 Claimant Lawyers(s): Gerard P. Fox Respondent(s): Albert Humphrey, Gary Shemano, The Shemano Group. Respondent Lawyers(s): Philip A. McLeod Arbitrator(s): Barbara M. Zak, Jerry Ellner, Louise A. Berberian Hearing Site: Los Angeles, CA
| | $250,000 |
07-03628 | 11/10/2008 | Claimant(s): David Lobato Claimant Lawyers(s): David Lobato Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Alun Hywel Jones Hearing Site: New York, NY
| | $0 |
08-00940 | 11/10/2008 | Claimant(s): Yuan Sun Claimant Lawyers(s): Russell M. Odell Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): George F. Meierhofer Arbitrator(s): Joseph C. Roberts Hearing Site: Seattle, WA
| | $425 |
06-04308 | 11/07/2008 | Claimant(s): Andrew Garrett. Claimant Lawyers(s): Barry M. Bordetsky Respondent(s): Alan Underberg, Ernest Silano, Robert Rosen, Vincent Ficci, Bishop, Rosen & Co.. Respondent Lawyers(s): David A. Schrader, Eugene M. Underberg, Martin S. Siegel, Vincent C. Ficci Arbitrator(s): Donald Ferguson, Randolph Guggenheimer, Roy L. Weiss Hearing Site: New York, NY
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