| 09-05115 | 07/08/2011 | Claimant(s): Mohan Selvardj
Claimant Lawyers(s): Christopher J. Murdoch
Respondent(s): Thinkorswim.
Respondent Lawyers(s): Howard J. Kaplan
Arbitrator(s): Ralph M. Goren, Cynthia R. Lyons, Ann Wilhelmina Kuppe
Hearing Site: Chicago, IL
|  | $0 |
| 09-06578 | 07/08/2011 | Claimant(s): Leo David, Ruth David, R&D Development
Claimant Lawyers(s): David Boros
Respondent(s): Gal Ben-Naim, IDB Capital Corp.
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Sandra L. Malek, Jeffrey E. Skogsbergh, Richard M. Norman
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01485 | 07/08/2011 | Claimant(s): The Estate of Seymour Niesen by Co-Execu
Claimant Lawyers(s): Adam M. Green
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | $0 |
| 10-01995 | 07/08/2011 | Claimant(s): Eugene Barron
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Scott & Stringfellow
Respondent Lawyers(s): Christina M. Hill
Arbitrator(s): Ann Pinciss Berman, Irene C. Warshauer, Henry Maringer
Hearing Site: New York, NY
| | $0 |
| 09-04025 | 07/07/2011 | Claimant(s): Marilyn Berger and Barry Berger
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Herbert Branitsky, Laura Jeanette Cognetti, James M. Chase
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-00492 | 07/07/2011 | Claimant(s): Carole Abramovitz
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Lori Vinciguerra
Arbitrator(s): Robert Youdelman, Ira L. Blankstein, John Caracciolo
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 10-01051 | 07/07/2011 | Claimant(s): James D. Adkins, Stephanie L. Adkins
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Wells Fargo Advisors, Ernest Watson, Jeff Tucker
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Warren A. Forest, Robert Finder, A.J. Seier
Hearing Site: Orlando, FL
| | $217,928 |
| 10-01484 | 07/07/2011 | Claimant(s): O. Robert Marino & Linda Marino
Claimant Lawyers(s): Henry I. Pass
Respondent(s): Klaus Miller, Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc., The Hoey Group
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Rafael A. Porrata-Doria, John J. Jordan, Howard B. Scherer
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-02276 | 07/07/2011 | Claimant(s): Robert Ralston, Susan Ralston
Claimant Lawyers(s): Martin B. Greenbaum, Ronald E. Miller
Respondent(s): Paul Heckler
Respondent Lawyers(s): Sylvia M. Scott
Arbitrator(s): George H. Casey, Robert F. Saint-Aubin, Joseph A Newcomb
Hearing Site: Los Angeles, CA
| | $200,000 |
| 10-04642 | 07/07/2011 | Claimant(s): Frank Taylor
Claimant Lawyers(s): F Chet Taylor
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): Mark A. Myers, Eric Spencer Buchanan, Patricia Best Vital
Hearing Site: Memphis, TN
| | $357,103 |
