| 08-00648 | 12/11/2009 | Claimant(s): Augustus Capers, Gertrude Capers
Claimant Lawyers(s): Gertrude H. Capers
Respondent(s): Quest Capital Strategies., Ridge Clearing & Outsourcing Solutions
Respondent Lawyers(s): Louis H. Miron
Arbitrator(s): Kip C. Lubcke, Margaret Leggett Tarver, Chris H. Naum
Hearing Site: Newark, NJ
|  | $0 |
| 09-01119 | 11/02/2009 | Claimant(s): John Buscema
Claimant Lawyers(s): John Buscema
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Marc L. Ripp
Hearing Site: Newark, NJ
| | $0 |
| 08-03431 | 10/23/2009 | Claimant(s): Henrietta Costa IRA (Roll Over), John T. Costa, IRA
Claimant Lawyers(s): George L. Mahr
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): John Castelly
Arbitrator(s): Maria D. Cirillo, Thomas M. Crawford, Stanley M. Lenkowicz
Hearing Site: Newark, NJ
| | $8,342 |
| 08-04299 | 09/22/2009 | Claimant(s): Jennifer McNulty
Claimant Lawyers(s): Robert A. Vallone
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | $5,700 |
| 08-04083 | 08/12/2009 | Claimant(s): Thomas Maoli
Claimant Lawyers(s): Thomas M. Knepper
Respondent(s): Morgan Stanley & Co., Marc Eisner
Respondent Lawyers(s): August "Jamie" H. Schupp
Arbitrator(s): Craig Scott Bartlett, Marilyn Chin, Michael F. Greco
Hearing Site: Newark, NJ
| | $174,464 |
| 08-04489 | 08/04/2009 | Claimant(s): Enrico Cassara
Claimant Lawyers(s): Enrico Cassara
Respondent(s): E*Trade Clearing LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Fred S. Pieroni
Hearing Site: Newark, NJ
| | $38 |
| 08-02659 | 08/03/2009 | Claimant(s): Wilfred Underwood
Claimant Lawyers(s): Wilfred J. Underwood
Respondent(s): Richard Brownstein, SII Investments.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Arnold Limsky, Edith M. Novack, Thomas Anthony Brady
Hearing Site: Newark, NJ
| | $5,750 |
| 09-00523 | 07/23/2009 | Claimant(s): Judith Mitschke
Claimant Lawyers(s): Judith Ann Mitschke
Respondent(s): Charles Webster
Respondent Lawyers(s): Charles Roger Webster
Arbitrator(s): Marc L. Ripp
Hearing Site: Newark, NJ
| | $4,397 |
| 09-00741 | 07/08/2009 | Claimant(s): Edwin Goldstein
Claimant Lawyers(s): Samuel T. Brannan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Charles L. Prothero
Hearing Site: Newark, NJ
| | $17,779 |
| 08-01704 | 06/19/2009 | Claimant(s): Kim Hafner, Veronica Harrison
Claimant Lawyers(s): Michael W. Hoffman
Respondent(s): John Holodinski, Michael Elias, PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Fred S. Pieroni
Hearing Site: Newark, NJ
| | $7,172 |
