| 07-02242 | 06/23/2008 | Claimant(s): Edward Bagley
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Max Assenheimer, Northeast Securities.
Respondent Lawyers(s): Adam S. Tanenbaum
Arbitrator(s): Don Muyskens, William J. Schifino, Jason S. Thackeray
Hearing Site: Tampa, FL
|  | $100,000 |
| 07-01578 | 06/23/2008 | Claimant(s): Mario Picinich, Rosemarie Picinich
Claimant Lawyers(s): Bruce E. Baldinger
Respondent(s): Jeffrey Alecci, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Susan MacFarlane
Arbitrator(s): Nathan J. Minucci, Kenneth J. Horowitz, Norman Kass
Hearing Site: Newark, NJ
| | $0 |
| 07-00131 | 06/20/2008 | Claimant(s): Michael Ziegelbaum
Claimant Lawyers(s): Michael Burrows
Respondent(s): MarkeAxess Holdings. f/k/a Martket, Marketaxess Corporation
Respondent Lawyers(s): David A. Picon, Kenneth E. Aldous
Arbitrator(s): Frank M. Suttell, Carole R. Bernstein, Alun Hywel Jones
Hearing Site: New York, NY
| | |
| 07-01247 | 06/20/2008 | Claimant(s): Michael Ziegelbaum
Claimant Lawyers(s): Michael Burrows
Respondent(s): MarketAxess Holdings Inc. f/k/a Market
Respondent Lawyers(s): Kenneth E. Aldous
Arbitrator(s):
Hearing Site: New York, NY
| | |
| 07-01940 | 06/19/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kenneth Freedman
Respondent Lawyers(s): Kenneth D. Freedman
Arbitrator(s): Frank F. Foys, Robert W. Edler, Richard A. Van Kalker
Hearing Site: Chicago, IL
| | |
| 03-03099 | 06/19/2008 | Claimant(s): Steven Vender
Claimant Lawyers(s): William F. Davis
Respondent(s): Lehman Brothers Inc
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Edward T. Swanson
Hearing Site: Los Angeles, CA
| | $0 |
| 05-06525 | 06/18/2008 | Claimant(s): George Busse, Yvonne Busse, George D. Busse Trust
Claimant Lawyers(s): Lawrence L. Klayman
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Curt Roy Hineline
Arbitrator(s): John E. Plock, Richard J. Lawrence, Martha Jeanne Wilcoxson
Hearing Site: Cheyenne, WY
| | $0 |
| 07-01052 | 06/18/2008 | Claimant(s): Robert L. Parker & Catherine M. Parker
Claimant Lawyers(s): Phyllis A. Norman
Respondent(s): Charles Bigbie
Respondent Lawyers(s): K. Clark Phipps
Arbitrator(s): Leslie L. Conner, Van R. Oliver, John R. Storm
Hearing Site: Oklahoma City, OK
| | $0 |
| 07-02837 | 06/17/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): David Ricca
Respondent Lawyers(s): David A. Ricca
Arbitrator(s): Lisa Catalano
Hearing Site: New York, NY
| | |
| 07-01346 | 06/17/2008 | Claimant(s): Judy Schulman and Murray Bieda
Claimant Lawyers(s): Marc A. Wites
Respondent(s): Jason Woessner, National Financial Services LLC, Scott Brooks, Stanley Brooks, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, Jason Woessner, Matthew Farley
Arbitrator(s): Lawrence M. Green, Stuart Harvey Ziegler, Edwin J. Slovitt
Hearing Site: Boca Raton, FL
| | $540,000 |
