08-01429 | 11/07/2008 | Claimant(s): Daniel Carnevale Claimant Lawyers(s): Peter J. Aldrich Respondent(s): Dr. Robert P. & Patricia A. Laurence Respondent Lawyers(s): Scott J. Link Arbitrator(s): Patricia Gunn, Larry G. Kjosa, Pat Anthony Mercurio Hearing Site: Orlando, FL
| | Expungement |
08-00483 | 11/07/2008 | Claimant(s): Marvin Becker Claimant Lawyers(s): Ira S. Kaplan Respondent(s): Michael Napolitano, Signator Investors. Respondent Lawyers(s): James J. Weller, Matthew Tracy Arbitrator(s): Kenneth B. Cutler, Anthony Michael Sabino, Biagio A. Civale Hearing Site: New York, NY
| | $10,000 |
06-04480 | 11/07/2008 | Claimant(s): Phyllis Francis Claimant Lawyers(s): Kirk G. Smith Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Hugo A. Hilgendorff Arbitrator(s): Norris D. Wolff, William R.H. Martin, Robert A. Cohen Hearing Site: Newark, NJ
| | $0 |
07-03046 | 11/07/2008 | Claimant(s): Jean and David Darzi Claimant Lawyers(s): Anthony J. Hom Respondent(s): Morgan Stanley DW Inc. Respondent Lawyers(s): Aaron L. Danzer Arbitrator(s): Catherine Tinker, Judith C. Greene, Andrew J. Gerber Hearing Site: New York, NY
| | $0 |
07-01194 | 11/06/2008 | Claimant(s): CCO Investment Services Corp. Claimant Lawyers(s): David M. Belcher Respondent(s): David Fowler, Donna Furgal, Eric Wasson, NEXT Financial Group. Respondent Lawyers(s): Ami Shah Arbitrator(s): Marilyn H. Zuckerman, Laura M. Nelson, Alan Harry Roth Hearing Site: Boston, MA
| | |
07-03103 | 11/06/2008 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): D. Daxton White Respondent(s): Charles Hill Respondent Lawyers(s): Charles Ray Hill Arbitrator(s): William H. McCullough, Greg Knight, Angelo J. Infantino Hearing Site: Orlando, FL
| | |
08-00544 | 11/06/2008 | Claimant(s): Westpark Capital. Claimant Lawyers(s): Paul Caron Respondent(s): Chanse Menendez Respondent Lawyers(s): Chanse Keith Menendez Arbitrator(s): John J. Witkowski Hearing Site: New York, NY
| | |
07-02234 | 11/06/2008 | Claimant(s): Alan Greenwood Claimant Lawyers(s): Martin P. Unger Respondent(s): Adam Maggio, Michael Wittenberg, J.P. Turner & Company, L.L.C. Respondent Lawyers(s): Richard J. Babnick Arbitrator(s): Linda B. Kelly, David A. Schuler, Catherine M. Norman Hearing Site: Dallas, TX
| | Stipulated Award and Expungement |
07-03231 | 11/06/2008 | Claimant(s): Paul Varsalona Claimant Lawyers(s): Bernard L. Balkin Respondent(s): Lowell Listrom, Valdes & Moreno. Respondent Lawyers(s): Marco Listrom Arbitrator(s): Robert E. Eisler Hearing Site: Kansas City, MO
| | $12,450 |
08-00525 | 11/06/2008 | Claimant(s): Josef Westkamp Claimant Lawyers(s): Werner A. Meier Respondent(s): Huntleigh Securities Corporation Respondent Lawyers(s): David B. Helms Arbitrator(s): R. Phillip Reed, Dennis Jay Capriglione, Alan A. Sachs Hearing Site: St. Louis, MO
| | Dismissed by Rule 12206 |