| 09-00465 | 12/30/2010 | Claimant(s): Peter Bruni and Michele Bruni
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): Stifel, Nicolaus & Co.., Ryan Beck & Co., Michael Bader
Respondent Lawyers(s): Irving Bizar, Marc Durant
Arbitrator(s): Guillermo L. Bosch, Joseph F. Pittelli, Ethan L. Lewis
Hearing Site: Philadelphia, PA
|  | $52,183 |
| 09-02736 | 12/30/2010 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Allan N. Taffet
Respondent(s): Enable Capital Management, Jefferies & Company., Enable Growth Partners
Respondent Lawyers(s): Alyson M. Weiss, Michael J. Baker
Arbitrator(s): Jonathan H. Krotinger, Mary Margaret Bush, Mary Kay Higgins Crockett
Hearing Site: San Francisco, CA
| | $0 |
| 09-04130 | 12/29/2010 | Claimant(s): Morgan Stanley Smith Barney
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Clifford Feldstein, Kenneth Sitomer, Ronald Feldstein, Mara Capital Management
Respondent Lawyers(s): Jay Goldberg, Seth Huberman
Arbitrator(s): Ann C. Northern, Marilyn J. Salzman, Randolph Guggenheimer
Hearing Site: New York, NY
| | $0 |
| 09-04244 | 12/29/2010 | Claimant(s): Jeffrey Haugh, Linda Haugh, AAA Consulting, Mid-Atlantic Anesthesia, P.A., Jeffrey T. Haugh and Linda Haugh
Claimant Lawyers(s): Mark M. Dumler
Respondent(s): Aura Financial Services., Harvard Funding Group., Westpark Capital.
Respondent Lawyers(s): John Woodruff, Richard Kraut
Arbitrator(s): Richard E. Lauziere, Robert T. Reeves, Alan Robert Malasky
Hearing Site: Baltimore, MD
| | $585,000 |
| 09-05038 | 12/29/2010 | Claimant(s): George Comeau
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Jack Friedman, Christopher C. Gorski, Abigail J. Pessen
Hearing Site: New York, NY
| | Expungement |
| 09-05896 | 12/29/2010 | Claimant(s): Peter Williams
Claimant Lawyers(s): Cyrus Tabari
Respondent(s): Bruce Tenenbaum, Goldman, Sachs and Company, Gregory Downing, Magdalena Schmitz
Respondent Lawyers(s): Joseph E. Floren, Kim Alexander Kane
Arbitrator(s): Herbert Liberman, James D. Murray, Joseph Berzok
Hearing Site: San Francisco, CA
| | $47,796 |
| 10-02507 | 12/29/2010 | Claimant(s): Ronald Avenia
Claimant Lawyers(s): Ronald J. Avenia
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Meredith A. Faro
Arbitrator(s): Sheldon Seligsohn
Hearing Site: Philadelphia, PA
| | $2,925 |
| 08-03006 | 12/29/2010 | Claimant(s): Bradford Guthrie, Mary Guthrie
Claimant Lawyers(s): Bradford G. Guthrie, Mary M. Guthrie
Respondent(s): Harold Hays, John Hand, Merrill Lynch Pierce Fenner & Smith Inc., Rick Lessley, Robert Jurkiewicz
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): George A. Sawyer, Prince C. Chambliss, David Freeman
Hearing Site: Birmingham, AL
| | $0 |
| 08-04132 | 12/29/2010 | Claimant(s): Earl Schriver
Claimant Lawyers(s): Earl L. Schriver
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
| | $0 |
| 09-06881 | 12/29/2010 | Claimant(s): Shizuko Matsumoto
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): George Sakamoto, Kenneth Burkett, Capital Financial Services.
Respondent Lawyers(s): Christine Dusbabek, Edward F. Donohue
Arbitrator(s): Carl B. Noelke
Hearing Site: San Francisco, CA
| | $0 |
