| 08-04243 | 05/06/2011 | Claimant(s): Kenneth Willenson, Layton Property.
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Mark McCloskey, Philip Pizelo, Shanon Ford, William Swayne, Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): Herbert H. Neuer, Robert F. O'Keef, Gerald J. Thain
Hearing Site: Milwaukee, WI
|  | Stipulated Award and Expungement |
| 10-01204 | 05/06/2011 | Claimant(s): Alexandra Germano
Claimant Lawyers(s): Louis M. Ciavarra
Respondent(s): Jennifer Germano, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer Germano, John P. Bevilacqua
Arbitrator(s): Howard I. Wilgoren, Francis A. McGrail, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | Expungement |
| 10-01093 | 05/06/2011 | Claimant(s): Evelyn Kesler, Evelyn Kesler Revocable Living Trust
Claimant Lawyers(s): David M. Foster
Respondent(s): Robert Hardies, Sigma Financial Corporation
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): John P. Gouttiere, Peter J. Henning, William C. Alsover
Hearing Site: Detroit, MI
| | $0 |
| 10-02336 | 05/06/2011 | Claimant(s): Roland Lee
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Patrick Burke, Capwest Securities.
Respondent Lawyers(s): H Thomas Fehn, Patrick Joseph Burke
Arbitrator(s): John J. Flynn, James D. Murray, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $600 |
| 09-06774 | 05/05/2011 | Claimant(s): William Brown
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Burke Dambly, Daryl Holzberg, James Walsh, Private Asset Group.
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): Linda B. Kelly, Frances Johnson Wright, James Douglas Haigh
Hearing Site: Dallas, TX
| | Expungement |
| 09-06884 | 05/05/2011 | Claimant(s): Lillian Kazezski, Stanley Kazezski, Kazezski Revocable Trust DTD 9/26/90
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wedbush Securities Inc., Lisa Gallo
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Paul D. Gutierrez, Homer M. Dalbey, James Conrad Riewerts
Hearing Site: San Francisco, CA
| | $750,000 |
| 10-00357 | 05/05/2011 | Claimant(s): Dennis W. Tibbs, IRA, QRP, Patricia A. Tibbs, Dennis W. and Patricia A. Tibbs, Jt Ten
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Brian E. Bro, Martin Samuel Altimore
Hearing Site: Houston, TX
| | Expungement |
| 10-01620 | 05/05/2011 | Claimant(s): Donald Eckrod
Claimant Lawyers(s): W. Scott Greco
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Peter B. Vaden, Timothy P. Bogan, Christopher M. McMurray
Hearing Site: Richmond, VA
| | Expungement |
| 09-07154 | 05/05/2011 | Claimant(s): Beth Goldman, Jay Boekelheide, Beth M. Goldman IRA Rollover (1), Beth M. Goldman IRA Rollover (2), Jay Boekelheide Film KEOGH, Jay Boekelheide IRA, Goldman-Boekelheide Family Trust U/A 06/
Claimant Lawyers(s): Monika Pleyer Lee
Respondent(s): Phillip Cordano, Stewart Viets, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Emily Woods, Ralph Robinson
Arbitrator(s): Paul F. Faberman
Hearing Site: San Francisco, CA
| | $0 |
| 10-00569 | 05/05/2011 | Claimant(s): Kory Hummer
Claimant Lawyers(s): Joseph E. Gasperetti
Respondent(s): Richard Ganz, H. Beck.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): William C. Boinest, Donald B. Vaden, Janice L. Burnham
Hearing Site: Richmond, VA
| | $0 |
