| 08-00335 | 10/20/2008 | Claimant(s): Ray D. Colter, Jr. and Ruth Colter
Claimant Lawyers(s): David Newman
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Edward B. Scott, Mark A. Myers, Richard J. Clement
Hearing Site: Jackson, MS
|  | $0 |
| 07-03545 | 10/17/2008 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerald T. Rohrer
Respondent(s): Joshua Fortin
Respondent Lawyers(s): Joshua Standish Fortin
Arbitrator(s): Robert P. Fogarty, Patrick J. Burley, Daniel R. LaMacchia
Hearing Site: Cincinnati, OH
| | |
| 08-00415 | 10/17/2008 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): Steven Waldman
Respondent Lawyers(s): Mark Charles
Arbitrator(s): Matthew Loguercio
Hearing Site: New York, NY
| | |
| 08-00485 | 10/17/2008 | Claimant(s): Deborah Galarneau
Claimant Lawyers(s): Rufus E. Brown
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Shari B. Broder, Deborah B. Haskell, Jack B. Golden
Hearing Site: Boston, MA
| | |
| 08-00969 | 10/17/2008 | Claimant(s): Aegis Capital Corp.
Claimant Lawyers(s): Michael H. Ference
Respondent(s): Munir Mrkulic
Respondent Lawyers(s): Munir Henry Mrkulic
Arbitrator(s): Judith E. Gross
Hearing Site: New York, NY
| | |
| 07-03192 | 10/17/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Joseph Frasko
Respondent Lawyers(s): Joseph Frasko
Arbitrator(s): Sam Antar
Hearing Site: New York, NY
| | $0 |
| 02-03268 | 10/17/2008 | Claimant(s): Ikho Kang IRA, Ikho & Unsoon Kang
Claimant Lawyers(s): Christopher Mader
Respondent(s): Barbara Ralston, Charles Lazzaro, John Openshaw, Katrina Dudley, First Wall Street Corporation
Respondent Lawyers(s): Brandon S. Reif, Patrick Baldwin
Arbitrator(s): James M. Donovan, Michael W. Burnett, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | Expungement |
| 06-05246 | 10/17/2008 | Claimant(s): Valentine Pitheckoff
Claimant Lawyers(s): Valentine Pitheckoff
Respondent(s): Louis Liberatore, Great Eastern Securities.
Respondent Lawyers(s): Derick Johnson, Louis Liberatore
Arbitrator(s): Bruce K. Isenberg, John B. Sprung
Hearing Site: New York, NY
| | $90,000 |
| 08-00302 | 10/17/2008 | Claimant(s): Curtis Harold Traylor
Claimant Lawyers(s): Curtis H Traylor
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kelly R. Davis
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | $603 |
| 08-00513 | 10/16/2008 | Claimant(s): SMH Capital Inc.
Claimant Lawyers(s): Martha E. McDugald
Respondent(s): Eric Edson
Respondent Lawyers(s): Eric Charles Edson
Arbitrator(s): John M. Wilkinson, George F. Longino, Robert E. Treadaway
Hearing Site: Dallas, TX
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