| 12-01536 | 11/16/2012 | Claimant(s): Robert Baum
Claimant Lawyers(s): Howard Meyers
Respondent(s): Ian Green, IDayTrade Inc d/b/a Brokerageselect
Respondent Lawyers(s): Ian Joseph Green, Ian Jospeh Green
Arbitrator(s): Samuel H. Chorches
Hearing Site: Manchester, NH
|  | $0 |
| 09-05049 | 05/26/2011 | Claimant(s): Fred Dinkin and Carol J. McKinnon
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Michael A. Balascio
Arbitrator(s): Mary C. Kelleher, David Ellis, Stephen Z. Frank
Hearing Site: Manchester, NH
| | $45,000 |
| 10-01721 | 04/12/2011 | Claimant(s): Erick Berglund
Claimant Lawyers(s): David Gibbs
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne M. Moriarty
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Manchester, NH
| | Expungement |
| 09-00381 | 01/26/2011 | Claimant(s): Thomas Meyer
Claimant Lawyers(s): Thomas J. Meyer
Respondent(s): Christopher Bingham, Jean-Michel Robiou, E*Trade Securities LLC, Michael Steinrich
Respondent Lawyers(s): Craig A. Saunders, Meredith A. Felde
Arbitrator(s): Peter Svorinic, Susan E. Maloney, Frank E. Wolf
Hearing Site: Manchester, NH
| | Expungement |
| 10-00156 | 08/04/2010 | Claimant(s): Conrad Guerrette
Claimant Lawyers(s): Conrad W. Guerrette
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John Castelly
Arbitrator(s): B. J. Krintzman
Hearing Site: Manchester, NH
| | $213 |
| 09-05763 | 05/21/2010 | Claimant(s): Preston A. Reed 2000 Trust
Claimant Lawyers(s): Preston A. Reed
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Robert L. Chase
Hearing Site: Manchester, NH
| | $6,139 |
| 08-03472 | 03/09/2010 | Claimant(s): Paul Gauthier, Sharon Gauthier
Claimant Lawyers(s): Adam J. Gana
Respondent(s): James Kelsoe, Morgan Keegan & Company.
Respondent Lawyers(s): Robert M. Brennan
Arbitrator(s): Elizabeth K. Norsworthy, Samuel H. Chorches, Peter Svorinic
Hearing Site: Manchester, NH
| | $0 |
| 07-03322 | 10/05/2009 | Claimant(s): Brenda K. Gaidmore, IRA, Gerald P. Gaidmore
Claimant Lawyers(s): Gerald P. Gaidmore
Respondent(s): A.G. Edwards & Sons., Paul Bedinger, Richard Iannacone
Respondent Lawyers(s): Damian J. Betz
Arbitrator(s): Brian J. Dunn, Michael Dell'Olio, Joseph Charles Kennedy
Hearing Site: Manchester, NH
| | $0 |
| 08-02899 | 03/17/2009 | Claimant(s): Irene O'Mara
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Ronald L. Cheney, Melinda S. Milberg, Norman Foxman
Hearing Site: Manchester, NH
| | $0 |
| 05-06272 | 02/04/2008 | Claimant(s): Sheila Whitcomb
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Stephen Z. Frank, William Norton
Hearing Site: Manchester, NH
| | Stipulated Award |
