| 09-04698 | 09/17/2010 | Claimant(s): William Huhn Living Trust
Claimant Lawyers(s): William D. Huhn
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
|  | $0 |
| 10-00456 | 09/16/2010 | Claimant(s): Roger Gratwick
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): Michael M. Hachigian
Hearing Site: Birmingham, AL
| | $25,425 |
| 09-04241 | 09/15/2010 | Claimant(s): Richard Brockway
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Wilbert H. Luck, Dennis R. Nolte, Robert S. Anderson
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
| 08-02926 | 09/15/2010 | Claimant(s): Ward Waldman Real Estate Services, Aaron E. Waldman and Patricia Waldman
Claimant Lawyers(s): Aaron Everett Waldman, Patricia Ward
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David Smitham
Arbitrator(s): Frances D. Sheehy, Kathy N. Novick, Arnold Levine
Hearing Site: Boca Raton, FL
| | $300 |
| 09-01190 | 09/15/2010 | Claimant(s): Lynell Miller Jones, IRA Rollover
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Jerold R. Babin, Anthony G. Sousa, Shawn Ridgell
Hearing Site: San Francisco, CA
| | $0 |
| 09-05230 | 09/15/2010 | Claimant(s): The Beaty Revocable Survivor's Trust
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Jonathan Holman Hathaway, John J. Fitzpatrick, Robert Mallin Hirsch
Hearing Site: San Francisco, CA
| | $0 |
| 08-03317 | 09/14/2010 | Claimant(s): Abraham Ifrach IRA, Shoshana Ifrach IRA, Ifrach Family Living Trust #1, Ifrach Family Living Trust #2
Claimant Lawyers(s): Martin L. Horwitz
Respondent(s): Shlomo Eplboim, Eplboim, Poutre & Co.., First Montauk Securities Corp., Maxxtrade.
Respondent Lawyers(s): David Schneidt, Robert I. Rabinowitz, Shlomo Eplboim
Arbitrator(s): Robert A. Lombardi, Alan M. Rosen, George Frederick Garris
Hearing Site: Los Angeles, CA
| | $85,061 |
| 09-00203 | 09/14/2010 | Claimant(s): Maureen Graf, Robert Bulchis
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Ralph A. Cotton, James N. D'Orso, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 09-04136 | 09/14/2010 | Claimant(s): Maimoona Mirdad
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Donald S. Green
Hearing Site: San Francisco, CA
| | $49,000 |
| 09-04240 | 09/14/2010 | Claimant(s): Robert Lewis, Lewis & Associates., Ridgecrest Groves., John Benjamin Lewis & Robert W. Lewis, Barbara Murphy Lewis Trust, Robert Wayne Lewis Revocable Trust
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Patrick D. King, Marilyn K. Dirks, Horace A. Andrews
Hearing Site: Tampa, FL
| | Expungement |
