| 09-04560 | 03/21/2011 | Claimant(s): Daniel Gorman
Claimant Lawyers(s): John G. Rich
Respondent(s): J.P. Morgan Securities, Bear, Stearns & Co..
Respondent Lawyers(s): Timothy E. Di Domenico
Arbitrator(s): Monica I. Salis, Frederick P. Hartman, Les R. Campbell
Hearing Site: Boca Raton, FL
|  | $0 |
| 09-05641 | 03/18/2011 | Claimant(s): Andrew Michalak
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Salvatore Capizzi, Sewell Frey, American Investors Company, Dunham & Associates Investment Counsel, Dunham Trust Company
Respondent Lawyers(s): Joseph D. Edmondson, Stephen B. Stern, Theodore C. Peters
Arbitrator(s): Richard A Compisi, Gordon M. Wase, Brenda J. Stovall
Hearing Site: Baltimore, MD
| | $2,702,800 |
| 09-05805 | 03/18/2011 | Claimant(s): Barbara Golds, Jack Golds IRA, Jack Golds, Roth IRA
Claimant Lawyers(s): David M. Foster
Respondent(s): LPL Financial LLC, David Steckler, Legent Clearing, Linsco/Private Ledger Corp
Respondent Lawyers(s): Christopher H. Tovar, David H. Jarvis, James E. Roach
Arbitrator(s): Larry C. Kreul, Jacqueline R. Fox, Michael George Kelly
Hearing Site: Detroit, MI
| | $175,000 |
| 09-06330 | 03/18/2011 | Claimant(s): Kritz Family LLC
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn J. Bushby
Arbitrator(s): Susan L. Walker, Mark P. Filwett, Richard J. DeWitt
Hearing Site: New Orleans, LA
| | $0 |
| 10-00339 | 03/17/2011 | Claimant(s): Barbara Willis
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Leland Stevens, Great American Advisors., Interactive Financial Advisors.
Respondent Lawyers(s): James L. Kopecky, Joseph M. Callow, Steven D. Smith
Arbitrator(s): Roderick B. Mathews
Hearing Site: Richmond, VA
| | $0 |
| 10-00418 | 03/17/2011 | Claimant(s): Lawrence Haaker
Claimant Lawyers(s): Jonathan Sack
Respondent(s): John Dunn, Morgan Stanley & Co.
Respondent Lawyers(s): August H. Schupp
Arbitrator(s): Robert I. Rabinowitz, Julian F. Santos, Anna Lascar
Hearing Site: New York, NY
| | $0 |
| 09-01728 | 03/16/2011 | Claimant(s): Thomas Redmond, Thomas A. Redmond Rev Liv Trust et al
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Oppenheimer & Co.., Joseph Eckrich
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Patrick R. Sughroue, Mark Scarr, Mark A. Cleland
Hearing Site: Detroit, MI
| | $221,120 |
| 09-02391 | 03/16/2011 | Claimant(s): Alan Fenster, A Professional Corporation, Alan and Sandra Fenster, Alan Fenster Corporate Profit & Pension
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): J.P. Morgan Securities, Michael Goldberg, Robert Zeiger
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): John B. Wells, Richard J. Stall, Steven A. Wawra
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-02399 | 03/16/2011 | Claimant(s): David Licht, Emanuel Licht
Claimant Lawyers(s): Hartley T. Bernstein
Respondent(s): Glenn Krause, Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Louis H. Miron, Linda T. Pellegrino, Richard W Reilly
Hearing Site: Newark, NJ
| | Expungement |
| 09-06773 | 03/16/2011 | Claimant(s): Jacqueline Picquelle
Claimant Lawyers(s): Robert J. Benbenek
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Thomas L. Azar
Arbitrator(s): Lawrence Alexander Huerta, John C. Lees, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $45,000 |
