| 10-01142 | 06/24/2011 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Adelino Cerveira
Respondent Lawyers(s): Adelino Cerveira
Arbitrator(s): Robert P. Porter
Hearing Site: Raleigh, NC
|  | $0 |
| 10-02369 | 06/24/2011 | Claimant(s): Dennis Soderstrum
Claimant Lawyers(s): Brenton D. Soderstrum
Respondent(s): Ronald Helland, Berthel, Fisher & Company
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): P. J. Boylan, Douglas A. Spier, Mark E. Schantz
Hearing Site: Des Moines, IA
| | $20,000 |
| 10-02723 | 06/24/2011 | Claimant(s): Carmen Martino
Claimant Lawyers(s): Ralph Vallone
Respondent(s): Eric Snyder, Magda Brocco, UBS Financial Services Inc of P.R.
Respondent Lawyers(s): Guillermo J. Bobonis, Roberto C. Quinones-Rivera
Arbitrator(s): Nancy J. Cliff, Elena G. Rodriguez, Luz Ivette Rivera
Hearing Site: San Juan, PR
| | Expungement |
| 10-03241 | 06/24/2011 | Claimant(s): Carole Liotti
Claimant Lawyers(s): Benedict L. Sliney
Respondent(s): Brian Mandart, Morgan Wilshire Securities., Woodstock Financial Group.
Respondent Lawyers(s): Bari Handwerger, Brian Mandart, Michael Finnan
Arbitrator(s): Gary W. Sherbell, John J. Duval, Denise N. Seegobin
Hearing Site: New York, NY
| | $39,580 |
| 10-00882 | 06/24/2011 | Claimant(s): John Conarpe
Claimant Lawyers(s): Salvatore D. Ferlazzo
Respondent(s): Timothy Bartholomew, Essex National Securities.
Respondent Lawyers(s): Timothy A. Valliere
Arbitrator(s): Jeffrey G. Sommers, Alan K. Bloom, Lewis M. Smith
Hearing Site: Albany, NY
| | $0 |
| 10-02664 | 06/24/2011 | Claimant(s): Susan Ginsburg, David M. Ginsburg Test. Trust by S. Gins
Claimant Lawyers(s): R. Diego Velazquez
Respondent(s): Sanford C. Bernstein & Co., Laurence Bertan, Paul Cobuzzi, Alliancebernstein Investments.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Mitchell S. Friedman, Michael S. Perinelli, Edwin H. Bennett
Hearing Site: New York, NY
| | $0 |
| 09-06762 | 06/23/2011 | Claimant(s): Harriet Baker, John Baker, Natalie Baker
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Bernard A. Friedman, Bernard Korman, James Sloan Altschul
Hearing Site: New York, NY
| | $880,000 |
| 10-00477 | 06/23/2011 | Claimant(s): Michael Armstrong, Michael Armstrong IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): David Carlson
Respondent Lawyers(s): Alvin L. Fishman
Arbitrator(s): Neil S. Jasper, Royal D. Heisser, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
| | $218,163 |
| 10-00497 | 06/22/2011 | Claimant(s): Joel Kaufman, Nancy Kaufman
Claimant Lawyers(s): Joel F Kaufman
Respondent(s): Morgan Stanley, Tom Howes
Respondent Lawyers(s): Andrew Lipton
Arbitrator(s): June White Dillard
Hearing Site: Baltimore, MD
| | Expungement |
| 10-02976 | 06/21/2011 | Claimant(s): Bernard Moskowitz
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Jack Patterson, Raymond James Financial Services.
Respondent Lawyers(s): Kelli Bullington, Russell C. Weigel
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | Expungement |
