| 09-00770 | 06/15/2010 | Claimant(s): Alvin Shrago
Claimant Lawyers(s): James A. Batson
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Peter A. Goldman, William C. Soo-Hoo, Anita Sippy
Hearing Site: New York, NY
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| 08-00653 | 06/04/2009 | Claimant(s): Matthew Eastwick
Claimant Lawyers(s): James A. Batson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ronald Minkoff
Arbitrator(s): Bernard A. Friedman, Leslie Ruth Nydick, Michael J. Contrastano
Hearing Site: New York, NY
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| 06-04042 | 03/23/2009 | Claimant(s): Robert Traitz
Claimant Lawyers(s): James A. Batson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): Edith M. Novack, S. Charles Tabak, Phillip Benedetto
Hearing Site: Newark, NJ
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| 07-02404 | 07/16/2008 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Matthew R. Stammel
Respondent(s): A. Waddell
Respondent Lawyers(s): James A. Batson
Arbitrator(s): Bonnie K. Wachtel, Gerald Charnoff, Barbara B. Franklin
Hearing Site: Washington, DC
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| 06-02262 | 10/18/2007 | Claimant(s): Richard Kates
Claimant Lawyers(s): James A. Batson
Respondent(s): GFI Securities LLC
Respondent Lawyers(s): David J. Clark
Arbitrator(s): Richard D. Chusid, Herbert Z. Geiger, Jay L. Zelesnick
Hearing Site: New York, NY
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