07-03131 | 09/08/2008 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Andre R. Perron Respondent(s): Louis Gaudio Respondent Lawyers(s): Louis M. Gaudio Arbitrator(s): Lawrence M. Pitler, Mark Sidell, Paul Joseph McIntyre Hearing Site: Boca Raton, FL
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08-00350 | 09/08/2008 | Claimant(s): Patrick Quinn Claimant Lawyers(s): Patrick J. Quinn Respondent(s): Stephen Grady, MF Global Inc. Respondent Lawyers(s): Steven J. Metz Arbitrator(s): Samuel B. Garber Hearing Site: Chicago, IL
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08-02495 | 09/08/2008 | Claimant(s): Smith Barney Shearson. Claimant Lawyers(s): Mitchell J. Albert Respondent(s): Jennifer Davis, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Geoffrey Gordon-Creed, Paul Vincent Simpson Arbitrator(s): Donald S. Duerson, Walter J. Huntley, Shawn Ridgell Hearing Site: San Francisco, CA
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07-03467 | 09/08/2008 | Claimant(s): Timothy Collins Claimant Lawyers(s): Joel H. Kaufman Respondent(s): David White, Inter Securities. Respondent Lawyers(s): Joseph H. Spiegel, Susan D. Duff Arbitrator(s): Stewart C.W. Weiner Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
07-01995 | 09/05/2008 | Claimant(s): Mike Dalton Claimant Lawyers(s): Mike Dalton Respondent(s): GunnAllen Financial. Respondent Lawyers(s): William J. Schifino Arbitrator(s): Jerrold E. Slutzky, Neal J. Tourdo, Marshal H. Emerson Hearing Site: Tampa, FL
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08-00581 | 09/05/2008 | Claimant(s): Pointe Capital. Claimant Lawyers(s): Daniel R Levene Respondent(s): Arthur Gerome Respondent Lawyers(s): Arthur Anthony Gerome Arbitrator(s): Jeffrey E. Skogsbergh Hearing Site: Los Angeles, CA
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07-00799 | 09/05/2008 | Claimant(s): Arie Aloni, Hava Aloni Claimant Lawyers(s): Darren C. Blum Respondent(s): Arthur Lewis, CIBC World Markets Corp., Jeff Bank, Susan Sutherland Respondent Lawyers(s): Matthew N. Thibaut Arbitrator(s): Alexander I. Heckman, Steven Gerard Goerke, Elaine Feldman Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
07-02291 | 09/05/2008 | Claimant(s): Brenda Kinnan, Thomas Kinnan Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Charles Slowey, Advanced Planning Securities. Respondent Lawyers(s): Charles C. Slowey, Joseph Keenan Arbitrator(s): Donald M. Macdonald, W. Patrick Baker, Dorothy Nelson Bryan Hearing Site: New Orleans, LA
| | $406,860 |
06-00111 | 09/05/2008 | Claimant(s): Estate of David Roberts Claimant Lawyers(s): Jerry L. Colclazier Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Ashley Young Adams Arbitrator(s): Lincoln F. Stock, Dale B. Rycraft, Dee Newell Hearing Site: Las Vegas, NV
| | $0 |
05-05159 | 09/04/2008 | Claimant(s): Michael Holland, William Holland Claimant Lawyers(s): Karen A. Batcher Respondent(s): Wachovia Securities, Eugene Ingargiola Respondent Lawyers(s): Joseph R. Becerra Arbitrator(s): Alan Stamm, James H. Bowersox, Gerald F. Corrigan Hearing Site: San Diego, CA
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