| 10-03172 | 05/05/2011 | Claimant(s): Leonard A. Miller Roth IRA E*Trade Cust.
Claimant Lawyers(s): Leonard A. Miller
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
|  | $76 |
| 09-06207 | 05/04/2011 | Claimant(s): Mary E. Wright Trust
Claimant Lawyers(s): Paul J. Sussman
Respondent(s): Credit Suisse First Boston LLC
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): William M. Koziol, Michael R. Sherwin, Loren H. Newman
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 10-02585 | 05/04/2011 | Claimant(s): Gerald Patera
Claimant Lawyers(s): J. Anthony Penry
Respondent(s): Seaboard Securities.
Respondent Lawyers(s): Anthony J. Digiovanni
Arbitrator(s): Roy J. Baroff, Harold G. Koger, Karen J. Montgomery
Hearing Site: Raleigh, NC
| | $120,300 |
| 10-03091 | 05/04/2011 | Claimant(s): Dalton Investments LLC
Claimant Lawyers(s): Jeffrey Wittenberg
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Renee M. Zaytsev
Arbitrator(s): Thomas E. Shuck, Robert J. Ruben, George Frederick Garris
Hearing Site: Los Angeles, CA
| | $250,000 |
| 10-01683 | 05/04/2011 | Claimant(s): Robert Baisa
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Juli Aylesworth
Arbitrator(s): Susan C. Lushing, John Daly, Robert I. Adler
Hearing Site: New York, NY
| | $0 |
| 09-06874 | 05/03/2011 | Claimant(s): Sakurako Sugihara
Claimant Lawyers(s): Romaine Gardner
Respondent(s): Machiko Okamoto
Respondent Lawyers(s): Steven Martin
Arbitrator(s): Anthony Michael Sabino
Hearing Site: New York, NY
| | $8,000 |
| 10-01198 | 05/03/2011 | Claimant(s): Steven Wdowka, Steven E. Wdowka, IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anne N. DePrez
Arbitrator(s): George W. Harding, Gary P. Price, Raymond M. Kirtley
Hearing Site: Indianapolis, IN
| | $2,512,200 |
| 10-02881 | 05/03/2011 | Claimant(s): Steven Minar
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Daniel B. MacLeod, Joseph W. Cheek, James E. Bartels
Hearing Site: Portland, OR
| | Expungement |
| 10-03809 | 05/03/2011 | Claimant(s): Richard Brownstein
Claimant Lawyers(s): Richard J. Brownstein
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Jill Y. Coen
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $9,357 |
| 09-01469 | 05/03/2011 | Claimant(s): Dwight Manley
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Walter S. Weiss, Frederick N. Bailard, Paul H. White
Hearing Site: Los Angeles, CA
| | $0 |
