| 09-06980 | 04/14/2011 | Claimant(s): Keith Stock
Claimant Lawyers(s): Theodore L. Hecht
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Joseph B. Russell, Salvatore J. Bate, Anna Lascar
Hearing Site: New York, NY
|  | $0 |
| 09-05396 | 04/13/2011 | Claimant(s): NNN Aventura Harbor 14 LLC, The Revocable Living Trust of Edward and
Claimant Lawyers(s): David Liebrader
Respondent(s): Jeffrey Gurman, Woodbury Financial Services.
Respondent Lawyers(s): Jesse Linebaugh, Ryan D. Harvey
Arbitrator(s): Dean Schneider, Michael G. Clark, Melvin S. Feldman
Hearing Site: Los Angeles, CA
| | $605,750 |
| 09-06677 | 04/12/2011 | Claimant(s): Lisa Cordaro, Robert Cordaro
Claimant Lawyers(s): Irwin Stein
Respondent(s): Forrest Templeton, United Securities Alliance.
Respondent Lawyers(s): Forrest D. Templeton, Michael Washington Jones
Arbitrator(s): George W. Harding, Donald N. Tolin, William J. Kenna
Hearing Site: Albuquerque, NM
| | $500,000 |
| 09-06918 | 04/12/2011 | Claimant(s): Leiter Family Trust
Claimant Lawyers(s): Stuart Meissner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Guy K. Stewart, Myron E. Levenson, Dennis J. Levin
Hearing Site: Boca Raton, FL
| | $2,388,230 |
| 10-01721 | 04/12/2011 | Claimant(s): Erick Berglund
Claimant Lawyers(s): David Gibbs
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne M. Moriarty
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Manchester, NH
| | Expungement |
| 09-03306 | 04/12/2011 | Claimant(s): Henry Ostberg
Claimant Lawyers(s): Herb Deutsch
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Walter C. Parrish, Kenneth J. Horowitz, Daniel A. Pinkus
Hearing Site: Newark, NJ
| | $0 |
| 09-03297 | 04/11/2011 | Claimant(s): Gerald Hosier, Jerry Jr., Brush Creek Capital LLC, Gerald D. Hosier UAD 10/04/99
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): H. Nicholas Berberian
Arbitrator(s): Malcolm T. Cleland, Marc H. Schtul, Patricia Mary Vondra
Hearing Site: Denver, CO
| | $54,106,000 |
| 10-02481 | 04/11/2011 | Claimant(s): Patricia Plesh
Claimant Lawyers(s): Patricia J. Plesh
Respondent(s): Citigroup Global Markets., Jay Oldham, Royal Alliance Associates., Lawrence Ruderman, Lloyd Graham, Philip King, Crowell, Weedon & Co., King Financial Services.
Respondent Lawyers(s): Barry M. Vrevich, Bernard B. Kornmehl, Elizabeth Lowery, Lloyd William Graham
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-05133 | 04/11/2011 | Claimant(s): Theodore R. Booher Living Trust
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Donald G. Kennedy
Hearing Site: Orlando, FL
| | $38,650 |
| 10-04238 | 04/11/2011 | Claimant(s): Farhad Shahidi
Claimant Lawyers(s): Farhad Shahidi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Ronald L. Cameron
Hearing Site: Los Angeles, CA
| | $0 |
