06-04213 | 12/05/2007 | Claimant(s): Salvador Marroquin Claimant Lawyers(s): Matthew J. Pero Respondent(s): Isidoro Miramontes, Morgan Stanley DW Inc. Respondent Lawyers(s): Anthony L. Valenzuela Arbitrator(s): Philip W. Burge, Herbert Murez, Suzanne Viau Chamberlain Hearing Site: Los Angeles, CA
| | Expungement |
05-00238 | 12/04/2007 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Timothy N. Will Respondent(s): Paul Clayton Respondent Lawyers(s): Jeffrey K. Compton Arbitrator(s): Robert W. Vernon, Paul J. Sipe, Barry E. Kersh Hearing Site: San Diego, CA
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07-01121 | 12/04/2007 | Claimant(s): National Securities Corporation Claimant Lawyers(s): Michael S. Colombo Respondent(s): Jeffrey Leo Respondent Lawyers(s): Jeffrey Christian Leo Arbitrator(s): William A. Hohauser Hearing Site: New York, NY
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05-03849 | 12/04/2007 | Claimant(s): Rodney Beck, Stacey Beck, Rodney R. Beck Living Trust d 12-05-04, Stacey Beck Living Trust dtd 12-05-94 Claimant Lawyers(s): Jenice L. Malecki Respondent(s): William Artmann, Investacorp. Respondent Lawyers(s): Alex J. Sabo Arbitrator(s): Richard Marc Weinroth, Allan D. Breyer, Karen D. Hanson Hearing Site: Phoenix, AZ
| | $1,150,000 |
06-02323 | 12/04/2007 | Claimant(s): Milton and Blanche Wasserburger Claimant Lawyers(s): Jeffrey Sonn Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Kent B. Frazer Arbitrator(s): David W. Newman, Syma S. Kasdin, Eugene J. Koalkin Hearing Site: Boca Raton, FL
| | $97,424 |
06-03501 | 12/04/2007 | Claimant(s): Elizabeth Greer Claimant Lawyers(s): Romaine L. Gardner Respondent(s): Judith Cassidy, New England Securities Respondent Lawyers(s): Rapheal M. Rosenblatt Arbitrator(s): Ernest Fanwick, Barnard Seligman, Renee La Verne Ross CFP Hearing Site: New York, NY
| | $0 |
04-04358 | 12/03/2007 | Claimant(s): Ameena Ali Claimant Lawyers(s): Timothy A. Canning Respondent(s): Robert Henderson, William Stenlund, Acument Securities. Respondent Lawyers(s): Marc S. Dobin, Robert Henderson Arbitrator(s): Melanie S. Cherdack, Jennifer Gwyn Klein, Charles Hoffman Hearing Site: Boca Raton, FL
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06-04392 | 12/03/2007 | Claimant(s): GunnAllen Financial Inc Claimant Lawyers(s): Jay Marc Israel Respondent(s): Wayne Lieberz Respondent Lawyers(s): Stuart A. Jackson Arbitrator(s): Michael Ross, Philip Florio, Brian R. Cohen Hearing Site: New York, NY
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07-02106 | 12/03/2007 | Claimant(s): Torc Investments and Research LLC Claimant Lawyers(s): Ben Delfin Respondent(s): DE Trading Respondent Lawyers(s): Eric Lichtenstein Arbitrator(s): John A. Astorina Hearing Site: New York, NY
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07-00068 | 12/03/2007 | Claimant(s): Mehrdad Pourfarhadi Claimant Lawyers(s): Marcell Rose Anthony Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John Bersin Arbitrator(s): Kevin R. McDermott, W. Sean Kelleher, Daniel R. LaMacchia Hearing Site: Columbus, OH
| | $0 |