| 10-02072 | 11/17/2010 | Claimant(s): Fae Gedz, The Fae Gedz Trust Revocable U/A
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
|  | $2,925 |
| 09-05668 | 11/10/2010 | Claimant(s): Jane C. Love IRAA
Claimant Lawyers(s): Meghan McAllister
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Beau Cox
Arbitrator(s): Michael L. Weissman, Sondra Sellars, Martin A. Duncan
Hearing Site: Chicago, IL
| | $1 |
| 10-01367 | 11/02/2010 | Claimant(s): John Campanelli, Venus Campanelli
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Ameriprise Financial Services., Joseph Della Monica
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
| | $5,213 |
| 09-02188 | 10/07/2010 | Claimant(s): John Patience, The John Patience Trust
Claimant Lawyers(s): James L. Kopecky, Kevin M. Flynn
Respondent(s): Jefferies & Company., Jefferies Investment Advisers
Respondent Lawyers(s): Matthew C. Applebaum
Arbitrator(s): John K. Notz, Henry G. Nothnagel, Samuel B. Garber
Hearing Site: Chicago, IL
| | $0 |
| 09-03993 | 10/01/2010 | Claimant(s): David Sherman, David A.Sherman Liv Tr,
Claimant Lawyers(s): Harvey J. Barnett
Respondent(s): Sanford C. Bernstein & Co., Llc
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Stephen C. Esposito, Herbert S. Channick, David M. Fetter
Hearing Site: Chicago, IL
| | $600 |
| 10-00131 | 09/29/2010 | Claimant(s): Kenda Pardy
Claimant Lawyers(s): Kenda K. Pardy
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Daniel R. Formeller
Hearing Site: Chicago, IL
| | $7,672 |
| 10-00932 | 09/24/2010 | Claimant(s): John Bishop
Claimant Lawyers(s): Jeremiah Phillips
Respondent(s): James Horton, E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $425 |
| 09-07096 | 09/23/2010 | Claimant(s): Georgette Siedlecki, James Siedlecki, James & Georgette Siedlecki
Claimant Lawyers(s): Sam Tenenbaum
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Michael I. White
Hearing Site: Chicago, IL
| | $213 |
| 10-01098 | 09/13/2010 | Claimant(s): Eugene Krzywicki, IRA
Claimant Lawyers(s): Eugene Krzywicki
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Donald W. McKenzie
Hearing Site: Chicago, IL
| | $213 |
| 09-00415 | 09/07/2010 | Claimant(s): Laurel Blau Revocable Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Robert L. Agusto, James F. Carlson, David M. Fetter
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
