| 08-04207 | 04/08/2009 | Claimant(s): Alex Roinitis
Claimant Lawyers(s): Alex Roinitis
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
|  | $213 |
| 08-00789 | 03/27/2009 | Claimant(s): Lea Georgas
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): George Terzakis, Morgan Stanley & Co.
Respondent Lawyers(s): Daniel Derechin, George D. Terzakis
Arbitrator(s): Alan S. Farnell
Hearing Site: Chicago, IL
| | $7,063 |
| 07-03401 | 02/19/2009 | Claimant(s): Jane Buschkopf, Jeanne McFadden, Kenneth Graff, Mary Buschkopf, Mary Jo Graff
Claimant Lawyers(s): John S. Chapman
Respondent(s): Stanley Klimek, Capital Securities Investments Corp.
Respondent Lawyers(s): Paul M. Weltlich
Arbitrator(s): G. Gale Roberson, Jerome Stern, Shelby Webb
Hearing Site: Chicago, IL
| | $0 |
| 08-00863 | 12/17/2008 | Claimant(s): Jerome Albert Trust uad 10/23/1986
Claimant Lawyers(s): John J. Muldoon
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Peter Ordower, Mary A. Duffy, Howard David Goodfriend
Hearing Site: Chicago, IL
| | $12,250 |
| 07-02971 | 11/25/2008 | Claimant(s): Gail Berger
Claimant Lawyers(s): Lee H. Tockman
Respondent(s): Delmar Austin, Kenneth Rohr, Merrill Lynch Pierce Fenner & Smith Inc., Nora Winsberg, Timothy Cunningham
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Michael S. Matek, Frederic M. Rizzo, Irving A. Chesler
Hearing Site: Chicago, IL
| | $0 |
| 07-01397 | 11/03/2008 | Claimant(s): Robert Elliott Hall
Claimant Lawyers(s): Leslie P. Poole
Respondent(s): Joseph Stevens & Company.
Respondent Lawyers(s): Michael C. Farkas
Arbitrator(s): Irving A. Chesler, Suanne F. Goldman, Richard A. Van Kalker
Hearing Site: Chicago, IL
| | $229,300 |
| 07-02804 | 10/31/2008 | Claimant(s): Charles Horberg, Sandra Horberg, Charles Horberg Jewelers. Pension
Claimant Lawyers(s): Eric E. Kalnins
Respondent(s): Sheldon Eisenberg, David A. Noyes & Company
Respondent Lawyers(s): Howard J. Stein
Arbitrator(s): Carmen P. Michelotti, Philip J. Glick, David M. Zimberoff
Hearing Site: Chicago, IL
| | $174,731 |
| 06-03584 | 08/01/2008 | Claimant(s): Clyde Bridgeman
Claimant Lawyers(s): Alan F. Block
Respondent(s): Michael Camp, Joseph Gunnar & Co.
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Ronald A. Lavery, David John Diersen, Michael S. Jordan
Hearing Site: Chicago, IL
| | $107,000 |
| 07-00768 | 07/17/2008 | Claimant(s): Betty Gunn
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Jonathan Zulauf, Edward Jones
Respondent Lawyers(s): Peter B. Schaeffer, Richard P. Darke
Arbitrator(s): William H. Tobin, David J. Langseth, Stephen W. Mack
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 06-01645 | 07/09/2008 | Claimant(s): Gail Wasserman, Wexler Meat Co. Profit Sharing Trust
Claimant Lawyers(s): Elliot M. Samuels
Respondent(s): Barry Rosenberg, Mesirow Financial.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Jeffrey W. Finke, Robert B. Schmidt, Nicolaus Bruns
Hearing Site: Chicago, IL
| | $0 |
