| 07-02620 | 04/08/2008 | Claimant(s): Todd Greenbaum
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Hapoalim Securities USA.
Respondent Lawyers(s): Ian M. Kirschner
Arbitrator(s): Ernest Fanwick, Joseph F. Kelley, Kevin B. Naughten
Hearing Site: New York, NY
| | |
| 07-03186 | 04/08/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Barry Do
Respondent Lawyers(s): Barry Do
Arbitrator(s): Nick G. Tarlson
Hearing Site:
|  | $0 |
| 07-01977 | 04/08/2008 | Claimant(s): Dennis Chiaino and Mary Ann Chiaino
Claimant Lawyers(s): Michael P. Gilmore
Respondent(s): Stephen Berry
Respondent Lawyers(s): Stephen J. Berry
Arbitrator(s): Brian J. Burstin
Hearing Site: New York, NY
| | $33,604 |
| 07-02929 | 04/08/2008 | Claimant(s): David Ni
Claimant Lawyers(s): David H Ni
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Gary T. Grassey
Arbitrator(s): Maurice R. Dunie
Hearing Site: Washington, DC
| | $88 |
| 06-01261 | 04/07/2008 | Claimant(s): Advanced Equities.
Claimant Lawyers(s): Andrew M. Zack
Respondent(s): Denise Kappel
Respondent Lawyers(s): Nicholas P. Iavarone
Arbitrator(s): Thomas F. Mahoney, Ann Breen-Greco, Champ W. Davis
Hearing Site: Chicago, IL
| | |
| 06-01341 | 04/07/2008 | Claimant(s): Mark Frommer
Claimant Lawyers(s): William J. Serritella
Respondent(s): Lehman Brothers Inc
Respondent Lawyers(s): Steven B. Varick
Arbitrator(s): John K. Notz, Ronald A. Lavery, Joseph FitzSimmons
Hearing Site: Chicago, IL
| | |
| 04-04060 | 04/07/2008 | Claimant(s): Christopher Houchin
Claimant Lawyers(s): Thomas J. Anton
Respondent(s): Vincent Bentivegna, Ehrenkrantz King Nussbaum.
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Milton C. Bennett, Gerald F. Corrigan, Thomas L. Flattery
Hearing Site: Los Angeles, CA
| | Expungement |
| 07-02340 | 04/04/2008 | Claimant(s): Michael Teall
Claimant Lawyers(s): Robert W. Mysliwiec
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Joseph M. Callow
Arbitrator(s): Marc B. Horin, Robert L. Agusto, Gordon B. Shneider
Hearing Site: Chicago, IL
| | |
| 07-00803 | 04/04/2008 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Dennis Capriglione
Respondent(s): Thomas McGowan
Respondent Lawyers(s): Thomas Joseph McGowan
Arbitrator(s): Kenneth E. Owen, Michael D. Harrison, Steven A. Fox
Hearing Site: Los Angeles, CA
| | |
| 07-02790 | 04/04/2008 | Claimant(s): Francis G. Laguaite, Executor
Claimant Lawyers(s): Francis G. Laguaite
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Gary P. Alexander, Robert H. Putnam, Michael J. Ahlstrom
Hearing Site: Atlanta, GA
| | $0 |
