| 08-01656 | 05/19/2009 | Claimant(s): Barry Liben
Claimant Lawyers(s): Michael J. Sullivan
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Christopher M. Burky
Arbitrator(s): Charles L. Prothero, Douglas John Baumann, Robert Philip Mather
Hearing Site: Newark, NJ
|  | $16,205 |
| 08-04886 | 05/07/2009 | Claimant(s): Barry Sherwin
Claimant Lawyers(s): Barry N. Sherwin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Raquel Terrigno
Arbitrator(s): Ira M. Starr
Hearing Site: Newark, NJ
| | $213 |
| 08-02311 | 04/07/2009 | Claimant(s): John Scott
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Myrtle Gilpin-Morgan
Respondent Lawyers(s): Myrtle J. Gilpin-Morgan
Arbitrator(s): C. Anthony Bell, Thomas M. Crawford, Edith M. Novack
Hearing Site: Newark, NJ
| | $145,540 |
| 08-02388 | 03/11/2009 | Claimant(s): Richard Siegel
Claimant Lawyers(s): Richard A. Siegel
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K Fair
Arbitrator(s): Douglas John Baumann
Hearing Site: Newark, NJ
| | Dismissed by Rule 12206 |
| 07-03214 | 01/22/2009 | Claimant(s): George Cubberly
Claimant Lawyers(s): George E. Cubberly
Respondent(s): PNC Investments LLC
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Maria D. Cirillo, Robert E. Anderson, Thomas A. Abitabile
Hearing Site: Newark, NJ
| | $0 |
| 07-00627 | 12/16/2008 | Claimant(s): Alfred T. Peng and Diana Peng
Claimant Lawyers(s): Feng Li
Respondent(s): David Gabay, Mutual Service Corporation
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Craig Scott Bartlett, Scott M. Pellegrino, S. Charles Tabak
Hearing Site: Newark, NJ
| | $0 |
| 08-01321 | 12/04/2008 | Claimant(s): Fred Betman
Claimant Lawyers(s): Fred S. Betman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Cynthia H. Plishtin, Sandralin J. Kiss, Joseph H. Cerame
Hearing Site: Newark, NJ
| | $10,000 |
| 06-01748 | 11/14/2008 | Claimant(s): Joy Phillips
Claimant Lawyers(s): Thomas C. Jardim
Respondent(s): Joseph Murphy, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowksy
Arbitrator(s): Charles L. Prothero, Irene C. Warshauer, Erica Levitt
Hearing Site: Newark, NJ
| | $4,977 |
| 06-04480 | 11/07/2008 | Claimant(s): Phyllis Francis
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Norris D. Wolff, William R.H. Martin, Robert A. Cohen
Hearing Site: Newark, NJ
| | $0 |
| 05-00842 | 11/03/2008 | Claimant(s): Abdallah Abdallah
Claimant Lawyers(s): H. J. Rubinstein
Respondent(s): Edward Skarbnik, Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc., Salomon Brothers.
Respondent Lawyers(s): Edwin A. Zipf, Jacqueline M. Gorham
Arbitrator(s): Nathan J. Minucci, Alvin Green, Emanuel Bloom
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
