| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
