| 11-00385 | 06/20/2011 | Claimant(s): Richard Watts and Sally Warner Watts
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Paul Davis Pearlstein
Hearing Site: Washington, DC
|  | $32,925 |
| 10-01972 | 05/31/2011 | Claimant(s): Deborah Traficante
Claimant Lawyers(s): Walter Birkel
Respondent(s): James Lacey, UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Douglas Earl McLaren, Gerald B. Marcovsky, Darryl Michael Lee
Hearing Site: Washington, DC
| | Expungement |
| 09-05914 | 04/27/2011 | Claimant(s): James M Biggins, James M Biggins and Eygeniya Kalashnikov
Claimant Lawyers(s): James M Biggins
Respondent(s): Phillip Conley
Respondent Lawyers(s): Timothy C. Bass
Arbitrator(s): Jerome Nelson
Hearing Site: Washington, DC
| | $23,738 |
| 10-04455 | 04/20/2011 | Claimant(s): Alan Zelenski
Claimant Lawyers(s): Alan S Zelenski
Respondent(s): Wells Fargo Advisors, Jeffrey Thiele, Richard Bucaro
Respondent Lawyers(s): Yoonsun Chung
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
| | $0 |
| 09-05568 | 02/22/2011 | Claimant(s): Nicole Secrest, William F. Runge IRA, Trust Created fbo Nicole A. Secrest, William F. Runge Revocable Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Nikolas Komyati
Arbitrator(s): William H. Malloy, Merle D. Rockwell, Douglas Earl McLaren
Hearing Site: Washington, DC
| | $124,156 |
| 09-06164 | 12/23/2010 | Claimant(s): The Trust FBO Dorothy S. Hellyer
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Timothy Bass
Arbitrator(s): Jane C. Carney, Peter J. Pokorny, Bryan Thomas Di Lella
Hearing Site: Washington, DC
| | $300 |
| 09-00499 | 11/15/2010 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Kristin Koo
Respondent Lawyers(s): Kristin H. Koo
Arbitrator(s): Gerald Scher, C. Gregory Ellison, Barbara B. Franklin
Hearing Site: Washington, DC
| | $0 |
| 09-04633 | 11/09/2010 | Claimant(s): Gregg Rosenberg
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Catherine C. Garas
Arbitrator(s): Marvin Elster, Paul A. Fischer, Jane A. Smith
Hearing Site: Washington, DC
| | $150 |
| 09-04569 | 11/05/2010 | Claimant(s): Lillian Ulissey, Lillian Ulissey Trust dtd 6/22/07
Claimant Lawyers(s): Edward B. Lowry
Respondent(s): Valentino Taddei, Edelman Financial Services
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): Maurice R. Dunie, Stephanie Wagner Ketchum, Judith B. Ittig
Hearing Site: Washington, DC
| | $0 |
| 09-02175 | 11/02/2010 | Claimant(s): Paula Eisenstein
Claimant Lawyers(s): John P. Connolly
Respondent(s): Eric Meyers, H. Beck.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Anne Q. Uno, Stanley A. Cook, Douglas Earl McLaren
Hearing Site: Washington, DC
| | $269,283 |
