| 09-03845 | 11/30/2010 | Claimant(s): John Allen
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Gregory Martino, Westrock Advisors.
Respondent Lawyers(s): Andrew Shapiro, Gregory Marcel Martino
Arbitrator(s): Madeleine B. Feldman, Todd Parker Lowe, R. Van Young
Hearing Site: Louisville, KY
|  | $141,853 |
| 09-07212 | 11/30/2010 | Claimant(s): Lois Santarsiero
Claimant Lawyers(s): Lois M. Santarsiero
Respondent(s): TD Ameritrade., Joshua Kenney, Michael Iannucci, Ryan Lewis
Respondent Lawyers(s): Barry S. Gold
Arbitrator(s): Irene C. Warshauer
Hearing Site: New York, NY
| | $0 |
| 09-03077 | 11/29/2010 | Claimant(s): Patricia Chapman, Patricia Tynan Chapman Trust UAD 9/26/90
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Peter H. Daly, Jonathan Holman Hathaway, Charles Eugene Markley
Hearing Site: San Francisco, CA
| | $1,500,000 |
| 09-00609 | 11/29/2010 | Claimant(s): Moshe Shram
Claimant Lawyers(s): Jonathan Schwartz
Respondent(s): IDB Capital Corp.
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Barbara M. Zak, Joseph C. Watson, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | $0 |
| 09-04494 | 11/29/2010 | Claimant(s): Peter Derby
Claimant Lawyers(s): Thomas M. Mullaney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Richard Grodin
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): Alan S. Braunshweiger, Lincoln W. Craighead, Annamaria Boccia Smith
Hearing Site: New York, NY
| | $0 |
| 10-02640 | 11/29/2010 | Claimant(s): Peter Stockmann
Claimant Lawyers(s): Peter H Stockmann
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Elizabeth K. Norsworthy
Hearing Site: Syracuse, NY
| | $25 |
| 09-00387 | 11/24/2010 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Trevor Templar
Respondent Lawyers(s): Trevor Rodrigues Templar
Arbitrator(s): Dean J. Dietrich, Stanford G. Hirata, Edwin C. Shiver
Hearing Site: San Francisco, CA
| | $0 |
| 10-01865 | 11/24/2010 | Claimant(s): Royetta Birkhimer
Claimant Lawyers(s): Royetta Rule Birkhimer
Respondent(s): La Salle St. Securities, L.L.C., Wally Myers
Respondent Lawyers(s): David A. Genelly, Wally Myers
Arbitrator(s): Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
| | $0 |
| 10-02864 | 11/23/2010 | Claimant(s): Gordon W. Leech and Robbie L. Leech, Joi
Claimant Lawyers(s): J. Michael Jordan
Respondent(s): Darin Pierce, Commonwealth Financial Network
Respondent Lawyers(s): Joe Tully
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Columbia, SC
| | $3,425 |
| 09-04304 | 11/23/2010 | Claimant(s): Myrna Axelrod
Claimant Lawyers(s): Elizabeth Genn
Respondent(s): Jack Kolker, UBS Financial Services Inc.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Sid Braufman, Martin H. Zern, Donald Raymond McNally
Hearing Site: New York, NY
| | $0 |
