| 10-05250 | 05/16/2012 | Claimant(s): Zvi Streit, The Streit Living Trust
Claimant Lawyers(s): George A Shohet
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Susan B. Gans-Smith, Robert B. Hansohn, David L. Maislen
Hearing Site: Los Angeles, CA
|  | $143,400 |
| 11-02249 | 05/16/2012 | Claimant(s): Susan Wallace
Claimant Lawyers(s): Ronald William Kepford
Respondent(s): Broker Dealer Financial Services Corp.
Respondent Lawyers(s): David W. Dunn
Arbitrator(s): James A. Lundberg
Hearing Site: Des Moines, IA
| | $96,868 |
| 11-04745 | 05/16/2012 | Claimant(s): Brian Rutherford
Claimant Lawyers(s): Brian J Rutherford
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Providence, RI
| | $0 |
| 12-01624 | 05/16/2012 | Claimant(s): Seymour Topple
Claimant Lawyers(s): Timothy Feil
Respondent(s): Steven Jennings
Respondent Lawyers(s): Steven Andrew Jennings
Arbitrator(s): Martin Jay Siegel, Mary Ellen Burns, Richard Bryce Nesson
Hearing Site: New York, NY
| | $0 |
| 10-04897 | 05/15/2012 | Claimant(s): Jodi Simensky, Rosalee Simensky, Stephen Simensky, Stephen and Rosalee Simensky JTWROS, Rosalee Simensky Rev Trust, The Stephen Simensky Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wesley Holston
Arbitrator(s): Lawrence M. Green, Steven N. Ainbinder, Myron E. Levenson
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-05616 | 05/15/2012 | Claimant(s): Susan Blickman
Claimant Lawyers(s): John Daniels
Respondent(s): Wells Fargo Advisors, John Compton
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Linda T. Pellegrino, Alan Shaw, Sandralin J. Kiss
Hearing Site: Newark, NJ
| | Expungement |
| 11-01585 | 05/15/2012 | Claimant(s): Roberta Eaton, Rondal Eaton Trust
Claimant Lawyers(s): Zachary J. Eichel
Respondent(s): Chase Investment Services Corp., Jeffrey Roache
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Allan Weiss, Raymond M. Kirtley, William Lawrence Spellman
Hearing Site: Indianapolis, IN
| | $0 |
| 11-04029 | 05/15/2012 | Claimant(s): Kristen Mahoney
Claimant Lawyers(s): Kristen Mahoney
Respondent(s): Charles Brancato
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
| 11-04471 | 05/14/2012 | Claimant(s): Richard Sudborough
Claimant Lawyers(s): Richard Sudborough
Respondent(s): Trade Monster
Respondent Lawyers(s): Michael Albino
Arbitrator(s): Paul H. Lamboley
Hearing Site: Las Vegas, NV
| | $25 |
| 10-01463 | 05/10/2012 | Claimant(s): Barbara Wren, Robert Wren, Wren and Wren Trust UAD 2/30/06
Claimant Lawyers(s): Andrew Park
Respondent(s): Community Bankers Securities
Respondent Lawyers(s): Steven S. Biss
Arbitrator(s): Donald B. Vaden, Beverly F. Druitt, John D. Robb
Hearing Site: Richmond, VA
| | $307,778 |
