| 09-06493 | 07/13/2011 | Claimant(s): Richard Orkin, DOCSI LLC, f/k/a DOCSI Corp., The DOCSI Corp. PSP dtd 09/01/91, The DOCSI Corp. Profit Sharing Plan
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Michele R. Fron
Arbitrator(s): Steven Gourley, Gerald C. Tambe, Daniel David Kopman
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-05645 | 07/13/2011 | Claimant(s): Bobby Panahi
Claimant Lawyers(s): Peter M. Kunstler
Respondent(s): UBS Financial Services Inc., Trevis Rucci
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Thomas E. Shuck, Robert W. Vernon, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
| 10-02412 | 07/13/2011 | Claimant(s): Alburnie Wright
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Bart Kaplow, Bobby Myerson
Respondent Lawyers(s): Bobby Fredrick Myerson, Jane M. Shields
Arbitrator(s): Margaret Mary Crumley, Robert W. Ratti, Edward F. Koren
Hearing Site: Philadelphia, PA
| | $300 |
| 10-00555 | 07/12/2011 | Claimant(s): Evelyn Dias, Melvin Dias
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): Pershing LLC
Respondent Lawyers(s): Nathan R. Jaskowiak
Arbitrator(s): Paul H. Lamboley, Cheryl R. Kershner, David M. Seidner
Hearing Site: Reno, NV
| | $120,250 |
| 09-03980 | 07/12/2011 | Claimant(s): Alan Kovner, Alan Kovner Scholars Choice FBO J Kovner, Alan M. Kovner ACF Joshua A. Kovner U/NY, Alan Kover CGM IRA Custodian, Joshua A. Kovner TTEE FBO Alan Kovner
Claimant Lawyers(s): Vincent W. Ansanelli
Respondent(s): Citigroup Global Markets., Smith Barney.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Barry Feiden, Jerome H. Levy, Keely D. Parr
Hearing Site: New York, NY
| | Expungement |
| 09-00562 | 07/12/2011 | Claimant(s): Stan Schuldiner
Claimant Lawyers(s): Stan Schuldiner
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): James J. Dougherty
Arbitrator(s): Harry B. Endsley, James S. Martin, Walter F. Dillaway
Hearing Site: San Francisco, CA
| | $0 |
| 10-01380 | 07/12/2011 | Claimant(s): Eleanor Levine
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Gloria O. North, Thomas Czinner, Richard Andrew Cahlin
Hearing Site: Boca Raton, FL
| | $0 |
| 10-05433 | 07/12/2011 | Claimant(s): Adrian Suazo, Adriana Suazo
Claimant Lawyers(s): Adriana E. Suazo
Respondent(s): TD Ameritrade., Scottrade Inc.
Respondent Lawyers(s): Hollie M. Mason, Niels P. Murphy
Arbitrator(s): Harold S. Stern
Hearing Site: Boca Raton, FL
| | $0 |
| 08-01185 | 07/11/2011 | Claimant(s): Laurence Stone
Claimant Lawyers(s): Eric Meyer
Respondent(s): J.P. Morgan Clearing Corp., J.P. Morgan Securities, Bear Stearns Asset Management.
Respondent Lawyers(s): Edward W. Larkin, Gene L Small
Arbitrator(s): Dale A. Pope, Gordon M. Wase, Jerrilyn G. Marston
Hearing Site: Philadelphia, PA
| | $0 |
| 10-04348 | 07/11/2011 | Claimant(s): Joseph Bowman, Timothy Bowman
Claimant Lawyers(s): Alan S. Wachs
Respondent(s): Deutsche Banc Alex, Brown Inc.
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Mitchel Weiss
Hearing Site: Jacksonville, FL
| | $300 |
