| 09-05626 | 04/02/2012 | Claimant(s): Eileen Boutin
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Wachovia Securities, Donald Van De Steene
Respondent Lawyers(s): Brian Witus, Stuart H. Deming
Arbitrator(s): Timothy J. Currier, Barry Goldman, Lawrence George Kloth
Hearing Site: Detroit, MI
|  | $50,000 |
| 10-01444 | 04/02/2012 | Claimant(s): Luis Espinosa, Maritza Garcia, Luit Ortiz Espinosa Pension Plan
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): Rafael Rodriguez-Abella, BBVA Securities of Puerto Rico.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Mark C. Perry, Thomas Czinner, Neil J. Berman
Hearing Site: San Juan, PR
| | $0 |
| 03-03322 | 03/30/2012 | Claimant(s): F. David and Gloria R. Tutt
Claimant Lawyers(s): Joseph C. Peiffer
Respondent(s): Lawrence Clasby, Clasby Investment Management.
Respondent Lawyers(s): Corporate Legal Department, Lawrence A. Clasby
Arbitrator(s): Ron C. Christner, Michael F. Brown, Robert S. Rooth
Hearing Site: New Orleans, LA
| | $1,200,300 |
| 10-02971 | 03/30/2012 | Claimant(s): John Murphy
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Camille Besold, David M. Levine, Jon Stanley Spisiak
Hearing Site: Boca Raton, FL
| | $250,000 |
| 11-01875 | 03/30/2012 | Claimant(s): Marvin Blum
Claimant Lawyers(s): Richard A. Lewins
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): William E. Hartsfield, Joseph G. Werner, Mary Elizabeth Skelnik
Hearing Site: Dallas, TX
| | $1,506,800 |
| 11-03099 | 03/30/2012 | Claimant(s): The Edwards 2000 Revocable Trust
Claimant Lawyers(s): Bruce M. Lubarsky
Respondent(s): E*Trade Securities LLC, Steven Christensen
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Anthony G. Sousa
Hearing Site: San Francisco, CA
| | Expungement |
| 09-03454 | 03/30/2012 | Claimant(s): Irene Kaufman Trust by Irene & Bernice K
Claimant Lawyers(s): Lloyd De Vos
Respondent(s): Diane Frimmel, John Hannasch, UBS Financial Services Inc., Marten Hoekstra, Michael Weisberg
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Ilene Barbara Zatkin-Butler, Milton M. Stein, David J. Weisenfeld
Hearing Site: New York, NY
| | $0 |
| 10-05662 | 03/30/2012 | Claimant(s): Linda Stark
Claimant Lawyers(s): Linda A. Stark
Respondent(s): Charles Sleezer, Wachovia Securities Financial Network, Wells Fargo Advisors, Louis Siracusano, Robert Siracusano
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Howard Breindel, Dolores D. Balsamo, Paul Bennett Marrow
Hearing Site: New York, NY
| | $0 |
| 11-01235 | 03/30/2012 | Claimant(s): David Bloom, Trust, Sara Bloom
Claimant Lawyers(s): Joseph R Sahid
Respondent(s): Arthur Thompson, Citigroup Global Markets.
Respondent Lawyers(s): Compliance Director
Arbitrator(s): Andrew J. Gerber
Hearing Site: New York, NY
| | $0 |
| 09-04124 | 03/29/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Cari A. Lewis
Respondent(s): Laura Bougdanos, Peter Bougdanos
Respondent Lawyers(s): Laura l. Bougdanos, Peter F. Bougdanos
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | $0 |
