| 09-03993 | 10/01/2010 | Claimant(s): David Sherman, David A.Sherman Liv Tr,
Claimant Lawyers(s): Harvey J. Barnett
Respondent(s): Sanford C. Bernstein & Co., Llc
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Stephen C. Esposito, Herbert S. Channick, David M. Fetter
Hearing Site: Chicago, IL
|  | $600 |
| 08-01918 | 09/30/2010 | Claimant(s): Thomas Collins
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Richard W. Thornburg, Harvey Alan Blicksilver, John M. Richey
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
| 09-02318 | 09/30/2010 | Claimant(s): Joyce Yabkow
Claimant Lawyers(s): Michael B. Specht
Respondent(s): Citigroup Global Markets., William Burns
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Robert Manfredo, Evonne W.J. Tolbert, Martin H. Zern
Hearing Site: New York, NY
| | Expungement |
| 09-04885 | 09/30/2010 | Claimant(s): Robert Finkelstein
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $30,000 |
| 09-05858 | 09/30/2010 | Claimant(s): Susan Hamovitch
Claimant Lawyers(s): Susan Hamovitch
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Peter Inserra
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | $0 |
| 09-06159 | 09/30/2010 | Claimant(s): Eric Friedlander
Claimant Lawyers(s): David E. Robbins
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Julita Kargol
Arbitrator(s): Richard W. Cutler, Jettie K. Thomas, Milton M. Stein
Hearing Site: New York, NY
| | $0 |
| 09-05381 | 09/29/2010 | Claimant(s): Iris Berger, Iris Victor Trust DTD 8/16/91
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): Donahue Jones, Ralph Schneider, Okoboji Financial Services.
Respondent Lawyers(s): Donahue Edwin Jones, Ralph Roberts Schneider, Ralph Stacey Schneider
Arbitrator(s): Jerome M. Libenson, Kenneth Andrew Klinko, Richard E. Mueller
Hearing Site: San Diego, CA
| | $359,590 |
| 10-00131 | 09/29/2010 | Claimant(s): Kenda Pardy
Claimant Lawyers(s): Kenda K. Pardy
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Daniel R. Formeller
Hearing Site: Chicago, IL
| | $7,672 |
| 10-01207 | 09/29/2010 | Claimant(s): Jacob Zynger
Claimant Lawyers(s): Jacob Zynger
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Paul Sidney Elliott, JD
Hearing Site: Tampa, FL
| | $4,296 |
| 08-04042 | 09/29/2010 | Claimant(s): Earl Bentz and Janet Bentz
Claimant Lawyers(s): Michael C. Skouteris
Respondent(s): Morgan Keegan & Company., William Wolbrecht
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): Paul A. Yates, Henry G. Plaster, Daniel Herbert Margolis
Hearing Site: Nashville, TN
| | $0 |
