| 10-02766 | 05/24/2011 | Claimant(s): Brent Richtsmeier
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Jack Kalisz, National Securities Corporation, Joseph Stevens & Co..
Respondent Lawyers(s): Josepha Sorbara, Mark Roth
Arbitrator(s): Annette Gres Shepherd, Robert E. Jenks, Karen J. Burneff
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-04660 | 05/24/2011 | Claimant(s): John and Roneale(Sue) Ports
Claimant Lawyers(s): John Ports
Respondent(s): Richard Clarke
Respondent Lawyers(s): Richard Lionel Clarke
Arbitrator(s): A. Joel Klein, Harris J. Howard, Barton J. Brewer
Hearing Site: Los Angeles, CA
| | $0 |
| 08-01566 | 05/23/2011 | Claimant(s): Frank Rodriguez, Susan Rodriguez, Frank/Susan Rodriguez for Alexandra, et.
Claimant Lawyers(s): David Chacin, Frank Rodriguez
Respondent(s): Kenneth Brown, K.W. Brown Investments, Wendy Brown
Respondent Lawyers(s): Mark David Hunter, Michael S. Hill, Russell L. Forkey
Arbitrator(s): Donald M. Homer, Michael J. Quarequio, Robert M. Schwedel
Hearing Site: Boca Raton, FL
| | $520,353 |
| 10-03041 | 05/23/2011 | Claimant(s): Ann Fox
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Jerry Clark
Respondent Lawyers(s): Jerry Clark
Arbitrator(s): Charles W. Lavender
Hearing Site: Orlando, FL
| | $196,146 |
| 10-05162 | 05/23/2011 | Claimant(s): James Quincy Steigelman
Claimant Lawyers(s): James Q. Steigelman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): James L. Karpen
Hearing Site: Detroit, MI
| | $10,590 |
| 09-07149 | 05/23/2011 | Claimant(s): Caroline Dufrin
Claimant Lawyers(s): Christopher Mader
Respondent(s): Charles Snider, Allstate Financial Services
Respondent Lawyers(s): Samantha Tesser Haimo, Stuart H. Russell
Arbitrator(s): Lynne T. Albert, Michael F. Pearl, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | $0 |
| 10-04643 | 05/23/2011 | Claimant(s): Janbaz Sidiqi
Claimant Lawyers(s): Janbaz Sidiqi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $88 |
| 09-06951 | 05/20/2011 | Claimant(s): David F Fleming IRA, David and Carmeletta Fleming, David F Fleming & Carmeletta Fleming Tr
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Gary Aday, Morgan Keegan & Company.
Respondent Lawyers(s): Larry Polk
Arbitrator(s): Jim Geiger, E. William Pastor, Randolph Guggenheimer
Hearing Site: Little Rock, AR
| | $170,000 |
| 09-06644 | 05/20/2011 | Claimant(s): G. Arnold Lawton, G. Arnold Lawton Trust dtd 3/11/04
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Wells Fargo Investments, Jack Wong
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Walter P. Hitchcock, Thomas H. O'Connor, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $0 |
| 09-07255 | 05/20/2011 | Claimant(s): Jean Brown
Claimant Lawyers(s): Wesley Lindon Clarke
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Elena G. Rodriguez, William R. Alheim, Robert J. Bender
Hearing Site: Miami, FL
| | $0 |
