| 09-06772 | 05/08/2012 | Claimant(s): Susan Shalov
Claimant Lawyers(s): Robert Bertsch
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Alan J. Duncan, R. Peter Faris, Brent J. Rosenbaum
Hearing Site: Las Vegas, NV
|  | $0 |
| 10-04215 | 05/08/2012 | Claimant(s): Congregation Bais Yisroel.
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Christian T Kemnitz
Arbitrator(s): Walter A. Kapuscinski, Louis H. Miron, Kip C. Lubcke
Hearing Site: Newark, NJ
| | $0 |
| 11-04253 | 05/08/2012 | Claimant(s): Herbert Jacobs
Claimant Lawyers(s): Herbert L. Jacobs
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Colleen A. Hankins
Arbitrator(s): Lisa Shusterman
Hearing Site: Cleveland, OH
| | $0 |
| 09-06138 | 05/07/2012 | Claimant(s): Keryx Biopharmaceuticals.
Claimant Lawyers(s): Robert Knuts
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Martin J. Auerbach
Arbitrator(s): J. Martin McDonough, Jeanne C. Miller, Judith P. Brooks
Hearing Site: New York, NY
| | $1,824,120 |
| 11-02285 | 05/07/2012 | Claimant(s): Benjamin Bosowski, Debra Nash, Gerald Nash, Jeffrey Clegg, Jessica Clegg, Lucille Nash, Manuel Cacdac, Mark Nash, Priscilla Clegg, Q. Nash, Rebecca Mitchell, Nash Foundation
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ronald Shindler
Arbitrator(s): Ian S. Greig, Noel K. Evans, Frank Brenner
Hearing Site: Tampa, FL
| | $1,365,000 |
| 10-05634 | 05/07/2012 | Claimant(s): Robert Barry, Robert E. Barry IRA
Claimant Lawyers(s): Robert E. Barry
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Mark L. Kowalsky, Patrick R. Sughroue, William P. Thorpe
Hearing Site: Detroit, MI
| | $0 |
| 10-01978 | 05/04/2012 | Claimant(s): Jessica Andrews-Kunst
Claimant Lawyers(s): Jerry B. Abbott
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Jeffrey M. Allen, Ralph L. Jacobson, Robert Mallin Hirsch
Hearing Site: San Francisco, CA
| | $115,000 |
| 10-03663 | 05/04/2012 | Claimant(s): Jose Flores
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Jeffrey Lopez, UBS Financial Services Inc., BBVA Securities of Puerto Rico., UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Anibal Lugo-Miranda, Debra A. Jenks, Roberto Quinones
Arbitrator(s): Bernard (Bob) L. Loring, Jerrold Levine, Louis David Huss
Hearing Site: San Juan, PR
| | Expungement |
| 10-04056 | 05/04/2012 | Claimant(s): Donald A. Hausfeld & Judith A. Hausfeld
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Alexander B. Feinberg
Arbitrator(s): Marvin J. Klein, David L. Maislen, Jay M. Vogelson
Hearing Site: Atlanta, GA
| | $402,101 |
| 10-04789 | 05/04/2012 | Claimant(s): Mike Stidd, Sherry Stidd
Claimant Lawyers(s): Jan Graham
Respondent(s): Clint Wyckoff, Mark Sumsion, Mark Wyckoff, Phillip Borup, Scott Garbutt, Stonehurst Securities.
Respondent Lawyers(s): Evan A. Schmutz, Phillip Borup, Scott T. Evans
Arbitrator(s): George J. Karlsven, Federico C. Alvarez, Michael Scott Eldredge
Hearing Site: Salt Lake City, UT
| | Expungement |
