| 11-02630 | 03/22/2012 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Michelle Young
Respondent(s): Kimberly Herkert and John Herkert, Jr.
Respondent Lawyers(s): Kimberly Herkert
Arbitrator(s): John Richard Lynch
Hearing Site: Albany, NY
|  | $0 |
| 07-03286 | 03/22/2012 | Claimant(s): Kumiko Yamada
Claimant Lawyers(s): David Liebrader
Respondent(s): Kazuyuki Tsunematsu, American Eastern Securities.
Respondent Lawyers(s): James T. Wang, Kazuyuki Tsunematsu
Arbitrator(s): David F. Bello, Brian Crawford, Terrance Joel Jalbert
Hearing Site: Honolulu, HI
| | $0 |
| 10-02060 | 03/21/2012 | Claimant(s): David Nassar, Tracy Nassar, CLD
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Goldman, Sachs and Company, Drew Corradini
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Susan M. Thevenet, Charles A. Newton, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
| | Expungement |
| 10-04202 | 03/21/2012 | Claimant(s): Karen Papasergiou, Serge Papasergiou
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Alfred H. Kingon, Daniel A. Dolan, Edwin H. Bennett
Hearing Site: New York, NY
| | Expungement |
| 11-03200 | 03/21/2012 | Claimant(s): Estate of Albert S. Newton
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): John B. La Rue
Hearing Site: Birmingham, AL
| | $25,425 |
| 11-03286 | 03/21/2012 | Claimant(s): Dennis Brooks
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): W. Michael Kelley
Hearing Site: Birmingham, AL
| | $23,661 |
| 10-03421 | 03/21/2012 | Claimant(s): John Koren
Claimant Lawyers(s): David Valicenti
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Barry Quint, Kenneth Dymond, Sheri J. Caplan
Hearing Site: Hartford, CT
| | $0 |
| 11-02733 | 03/21/2012 | Claimant(s): Jill Carter
Claimant Lawyers(s): Jon E. Drucker
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Brian Harlan
Arbitrator(s): Vaughn Thomas Hale, Roberta Haft, Ted Paul Comfort
Hearing Site: Los Angeles, CA
| | $0 |
| 11-01571 | 03/20/2012 | Claimant(s): Shari Weidenbaum, Walter Weidenbaum, Walter Weidenbaum IRA, Walter Weidenbaum Trust UA 4/25/02
Claimant Lawyers(s): Walter Wiedenbaum
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Marc T. Danon
Hearing Site: Boca Raton, FL
| | $75 |
| 10-03700 | 03/19/2012 | Claimant(s): Mark Wilton
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Coren Stern
Arbitrator(s): Earl S. Schwarz, Bruce K. Isenberg, Perry Earl Phillips
Hearing Site: Boca Raton, FL
| | $0 |
