10-00300 | 07/28/2010 | Claimant(s): Charles Bornstein Claimant Lawyers(s): Charles Zachary Bornstein Respondent(s): Judith Connolly Respondent Lawyers(s): David E. Bamberger Arbitrator(s): Fred S. Pieroni Hearing Site: New York, NY
| | $88 |
08-00632 | 07/27/2010 | Claimant(s): Elizabeth Richert Claimant Lawyers(s): Elizabeth K. Richert Respondent(s): Timothy Ruggiero, Brookshire Securities Corporation Respondent Lawyers(s): Ken Pollock Arbitrator(s): Jonathan H. Parker, Lawrence S. Silver, Jeffrey R. Roth Hearing Site: Miami, FL
| | $17,500 |
09-04209 | 07/27/2010 | Claimant(s): The Estate of Philip Greenbaum Claimant Lawyers(s): Adam Doner Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Joseph C. Coates Arbitrator(s): Ronald H. Walton, Barth Satuloff, Louis Moroff Hearing Site: Boca Raton, FL
| | $190,000 |
09-06704 | 07/27/2010 | Claimant(s): Beja Finance International Claimant Lawyers(s): Robert L. Schenk Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Katherine C. Donlon Arbitrator(s): Mark D. Quinn, Todd M. Saunders, Barry David Thorpe Hearing Site: Miami, FL
| | Dismissed by Rule 12206 |
10-00071 | 07/27/2010 | Claimant(s): Maurice Musry Claimant Lawyers(s): Maurice Musry Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Payne L. Templeton Arbitrator(s): Charles Ajamian Hearing Site: Newark, NJ
| | $25,425 |
09-07030 | 07/27/2010 | Claimant(s): Florence Isham Claimant Lawyers(s): Fred S. Clark Respondent(s): J.J.B. Hilliard, W.L. Lyons Respondent Lawyers(s): J. Curtis McCubbin Arbitrator(s): Albert J. Haller Hearing Site: St. Louis, MO
| | $0 |
10-00035 | 07/27/2010 | Claimant(s): Robert Turak Claimant Lawyers(s): Robert B. Turak Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith A. Felde Arbitrator(s): Jonathan Holman Hathaway Hearing Site: San Francisco, CA
| | $0 |
08-02958 | 07/26/2010 | Claimant(s): Anna Rasmussen, Robert Jack Rasmussen, Cust. Acct., Samuel Robert Rasmussen, Taylor Marie Rasmussen Cust. Acct. Claimant Lawyers(s): Gregory A. Adamski Respondent(s): LPL Financial LLC, John Donaldson, Professional Wealth Management. Respondent Lawyers(s): Paul Weltlich, Peter B. Shaeffer Arbitrator(s): Robin David, James F. Carlson, Hyram A. Evans Hearing Site: Chicago, IL
| | $0 |
09-03317 | 07/26/2010 | Claimant(s): Barbara Hager, Robert Hager, Robert J. Hager and Barbara R. Hager Claimant Lawyers(s): Robert K. Savage Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Trae D. Meyr Arbitrator(s): Ronald H. Walton, Frank Brenner, Elizabeth A. Townes Hearing Site: Tampa, FL
| | $0 |
09-03920 | 07/26/2010 | Claimant(s): Frank Dottori Claimant Lawyers(s): Timothy P Gunning Respondent(s): Ameriprise Financial Services., Robert Lucarelli Respondent Lawyers(s): Courtney R. Reid Arbitrator(s): Samuel H. Chorches Hearing Site: Hartford, CT
| | $0 |