| 11-04712 | 07/11/2012 | Claimant(s): Herold Family Living Trust UAD
Claimant Lawyers(s): Cletus M. Herold
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): William B. Ross
Hearing Site: Des Moines, IA
|  | $0 |
| 11-00453 | 06/04/2012 | Claimant(s): Marvin Antonowsky, Marvin Antonowsky IRA, Antonowsky 1984 Trust UAD 03/23/1989
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): E*Trade Securities LLC, Li-Wei Chang
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Barbara M. Zak, Arthur F. Brueggeman, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-05584 | 05/10/2012 | Claimant(s): Louis Najdzin
Claimant Lawyers(s): Peter Nichols
Respondent(s): E*Trade Securities LLC, William Velthaus
Respondent Lawyers(s): John Bersin
Arbitrator(s): Ronald Citron, Alan Shaw, Bernard M. Levine
Hearing Site: Newark, NJ
| | Expungement |
| 11-02285 | 05/07/2012 | Claimant(s): Benjamin Bosowski, Debra Nash, Gerald Nash, Jeffrey Clegg, Jessica Clegg, Lucille Nash, Manuel Cacdac, Mark Nash, Priscilla Clegg, Q. Nash, Rebecca Mitchell, Nash Foundation
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ronald Shindler
Arbitrator(s): Ian S. Greig, Noel K. Evans, Frank Brenner
Hearing Site: Tampa, FL
| | $1,365,000 |
| 10-05820 | 04/27/2012 | Claimant(s): Surendra Gupta
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Frederick Michael Switzer, Robert J. Bohle, David F. Barrett
Hearing Site: St. Louis, MO
| | Expungement |
| 07-03517 | 04/25/2012 | Claimant(s): Anna Vertkin
Claimant Lawyers(s): Mathew Martenyi
Respondent(s): E*Trade Securities LLC, Michael Vertkin
Respondent Lawyers(s): Meredith A. Felde, Michael Vertkin
Arbitrator(s): Herb Schwartz, James R. Dickson, Nick G. Tarlson
Hearing Site: San Francisco, CA
| | $0 |
| 11-02796 | 04/20/2012 | Claimant(s): Alpine Optics.
Claimant Lawyers(s): Horst Stahl
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | $0 |
| 11-03099 | 03/30/2012 | Claimant(s): The Edwards 2000 Revocable Trust
Claimant Lawyers(s): Bruce M. Lubarsky
Respondent(s): E*Trade Securities LLC, Steven Christensen
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Anthony G. Sousa
Hearing Site: San Francisco, CA
| | Expungement |
| 10-05387 | 02/10/2012 | Claimant(s): WT Acquisition LLC
Claimant Lawyers(s): Peter S. Dealy
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $1,359 |
| 10-04395 | 02/03/2012 | Claimant(s): Peter Reddy
Claimant Lawyers(s): Esther Kim
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): John Patrick Kelly
Hearing Site: San Francisco, CA
| | $12,133 |
