| 05-04291 | 09/24/2010 | Claimant(s): Elaine Lambert, Winston Lambert, Dr. Elaine Lambert Employee CPP PL, Winston Lambert Invest. Employee MPP, Winston Lambert Investments Emp. PS PL
Claimant Lawyers(s): B. Ray Zoll, Reuben L. Nocos
Respondent(s): Wedbush Securities Inc., Christopher Short
Respondent Lawyers(s): Charles B LaChaussee, Christopher G. Short
Arbitrator(s): Donald S. Duerson, Jonathan H. Krotinger, Gary S. DeWeese
Hearing Site: San Francisco, CA
|  | $0 |
| 09-05706 | 09/24/2010 | Claimant(s): The Luckett Family Trust
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Bill Swinford
Hearing Site: Louisville, KY
| | $0 |
| 09-07273 | 09/24/2010 | Claimant(s): John Goodman
Claimant Lawyers(s): Brett S. Krantz
Respondent(s): Steven Udelson
Respondent Lawyers(s): Steven Udelson
Arbitrator(s): James A. Laurenson
Hearing Site: Cleveland, OH
| | $0 |
| 10-00932 | 09/24/2010 | Claimant(s): John Bishop
Claimant Lawyers(s): Jeremiah Phillips
Respondent(s): James Horton, E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $425 |
| 09-02491 | 09/23/2010 | Claimant(s): Vikki Okasaki
Claimant Lawyers(s): Vikki Okasaki
Respondent(s): Citigroup Global Markets., Paul Couch
Respondent Lawyers(s): Daren A. Luma
Arbitrator(s): Philip H. Marmurowski, Stephen F. Kempa, Dee Newell
Hearing Site: Las Vegas, NV
| | $15,500 |
| 09-02798 | 09/23/2010 | Claimant(s): Julius Cantor
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Bradford Goldner, American Portfolios Financial Services,
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Brendan M. Murphy, Robert Stephen Burns
Hearing Site: Tampa, FL
| | Stipulated Award and Expungement |
| 08-03496 | 09/23/2010 | Claimant(s): Vikram Rai and Swapni Rai
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Alan Schwartz, J.P. Morgan Securities
Respondent Lawyers(s): Andrew Muscato, Neil A. Riemann
Arbitrator(s): Charles L. Prothero
Hearing Site: Newark, NJ
| | $213 |
| 09-07096 | 09/23/2010 | Claimant(s): Georgette Siedlecki, James Siedlecki, James & Georgette Siedlecki
Claimant Lawyers(s): Sam Tenenbaum
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Michael I. White
Hearing Site: Chicago, IL
| | $213 |
| 10-01074 | 09/22/2010 | Claimant(s): PCG Management
Claimant Lawyers(s): James D. Gaberino
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Genna Stephens
Arbitrator(s): T. E. Jaeb
Hearing Site: Dallas, TX
| | $0 |
| 09-03717 | 09/21/2010 | Claimant(s): Gerald Lanzalotto
Claimant Lawyers(s): Paul B. Radvany
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne M. Moriarty
Arbitrator(s): Fred S. Pieroni
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
