07-00996 | 09/26/2007 | Claimant(s): Mark Mothner Claimant Lawyers(s): Debora A. Pitman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Carol B. Trask Arbitrator(s): Peter A. Goldman Hearing Site: New York, NY
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04-01174 | 09/26/2007 | Claimant(s): Kenneth Moskowitz, Leonard Moskowitz Claimant Lawyers(s): Mark A. Tepper Respondent(s): James Odorczuk, Lehman Brothers Inc, Todd Rubsamen Respondent Lawyers(s): Brian F. McDonough Arbitrator(s): Gerry E. Feinberg, Saul Scheier, Jean C. Black Hearing Site: New York, NY
| | Expungement |
06-03506 | 09/26/2007 | Claimant(s): Deirdre North, FBO Blair A. Riddell Education Trust, FBO Blake A. Riddell Education Trust Claimant Lawyers(s): William O. Wuester Respondent(s): RBC Capital Markets Corporation Respondent Lawyers(s): Retta A. Miller Arbitrator(s): Bill M. Lamoreaux, Joseph J. Ligi, Larrie Alan Weil Hearing Site: Dallas, TX
| | $0 |
06-04609 | 09/25/2007 | Claimant(s): Mary Ann White Claimant Lawyers(s): Patricia A. Washienko Respondent(s): Peter Fader, Urchin Capital Partners Respondent Lawyers(s): James S. Rollins Arbitrator(s): Tom L. Peterson, John F. Poole, Melinda S. Milberg Hearing Site: Boston, MA
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07-00344 | 09/25/2007 | Claimant(s): Cherie Stokes Claimant Lawyers(s): Cherie A. Stokes Respondent(s): Howe Barnes Hoefer & Arnett. Respondent Lawyers(s): Matthew C. Boba Arbitrator(s): Paul D. Gutierrez Hearing Site: San Francisco, CA
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07-00462 | 09/25/2007 | Claimant(s): Jed Kaplan Claimant Lawyers(s): Stephen A. Mendelsohn Respondent(s): Helene Futterman, Barbara Feinberg IRA, Helene Futterman Roth IRA, Leonard Feinberg IRA, Leonard Feinberg Trust Respondent Lawyers(s): Barbara Feinberg, Helene Futterman, Leonard Feinberg Arbitrator(s): James J. Fishman, Robert E. Holley, Joan Ilivicky Hearing Site: New York, NY
| | Expungement |
04-00577 | 09/25/2007 | Claimant(s): Claimant Lawyers(s): Respondent(s): Carolyn Cohen, Larry Rothenberg, Merrill Lynch Pierce Fenner & Smith Inc., MLFPS Cust FPO Lee Container & Paper, Testamentary Trust U/W of Henry Cohen Respondent Lawyers(s): John C. Kelly, Patrick J. Monaghan Arbitrator(s): Richard S. Peskin, Alfred Fingerman, Demetrio S. Timban Hearing Site: Newark, NJ
| | $0 |
06-04212 | 09/25/2007 | Claimant(s): Estate of William F. Deinhard Claimant Lawyers(s): G. Mark Brewer Respondent(s): Ameriprise Advisor Services., Jonathan Zweifel Respondent Lawyers(s): Howard Klausmeier, Ronald P. Kane Arbitrator(s): John A. Goffrier, William B. Kirby, James G. Harlan Hearing Site: Boise, ID
| | $0 |
06-04751 | 09/25/2007 | Claimant(s): Deborah Comer Claimant Lawyers(s): Deborah Comer Respondent(s): Chistopher Lyons, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Alan Rafterman Arbitrator(s): Valynda A. Ewton, James M. Tipton, Irwin S. Sugerman Hearing Site: Dallas, TX
| | $0 |
06-00122 | 09/24/2007 | Claimant(s): Donchee Lin, IRA Claimant Lawyers(s): Donchee Lin Respondent(s): Weiming Ho, Integral Financial LLC Respondent Lawyers(s): Weiming Ho Arbitrator(s): Herbert Liberman, Peter H. Daly, David Edward Canter Hearing Site: San Francisco, CA
| | $38,210 |