| 08-01950 | 07/23/2010 | Claimant(s): Michael Caradimitropoulo
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Anthony Tricarico, The Concord Equity Group
Respondent Lawyers(s): David E. Robbins, Robert I. Rabinowitz
Arbitrator(s): Thomas Caiaffa, Julian F. Santos, Micalyn S. Harris
Hearing Site: New York, NY
|  | Expungement |
| 09-01431 | 07/23/2010 | Claimant(s): Gerald Edward McCoy
Claimant Lawyers(s): Jordan P. Kendell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Langdon T. Owen, Jonathan H. Larson, A. O. Headman
Hearing Site: Salt Lake City, UT
| | $96,524 |
| 09-02063 | 07/23/2010 | Claimant(s): Scott H. Shuford IRA, King Irrevocable Heirs Trust II
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Stephen C. Carlin
Arbitrator(s): Louis J. Weber, Catherine G. Chang, Robert Daniel Burns
Hearing Site: Dallas, TX
| | $150,000 |
| 09-03291 | 07/23/2010 | Claimant(s): Evelyn Dias, Melvin Dias
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): The Concord Equity Group
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Robert E. Thompson, Richard B. Bullock, Walter J. Huntley
Hearing Site: San Francisco, CA
| | $827,000 |
| 09-04887 | 07/23/2010 | Claimant(s): James Shuel
Claimant Lawyers(s): Thomas H Tucker
Respondent(s): Wachovia Securities, Michael Ceccon
Respondent Lawyers(s): Christopher P. Litterio
Arbitrator(s): Richard J. Grahn, B. John Dill, Maxwell J. Mahoney
Hearing Site: Boston, MA
| | $39,000 |
| 09-02644 | 07/23/2010 | Claimant(s): Michael Jamail
Claimant Lawyers(s): George Michael Jamail
Respondent(s): Byron Meads, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ellen B. Sessions
Arbitrator(s): Kathy R. Holler, Sherry R. Wetsch, Brian James Tagtmeier
Hearing Site: Houston, TX
| | $0 |
| 09-00120 | 07/22/2010 | Claimant(s): Arthur Taub, Carol Page, Donald Shepard, Esther Stevens, Jeffrey Stevens, Nancy Stevens, Suzanne Helgerson, Travis Bryant, Warren Helgerson, Carol A. Page Roth IRA, Arlan and Barbara Pfohl, Arlan L. & Barbara L. Pfohl Family Trus
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ellyn McColgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, William Betta, FMR Corporation
Respondent Lawyers(s): Brian J. Ellis, H Thomas Fehn, Jason S. Pinney, Kevin K. Fitzgerald, Tracy L. Gerber
Arbitrator(s): Douglas Martin Crow, Joseph W. Cheek, Paul R. Meyer
Hearing Site: Portland, OR
| | Expungement |
| 09-01730 | 07/22/2010 | Claimant(s): Mary Ann Prekosovich IRA, Mary Ann Prekosovich, Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Theodore L. Leeb
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 09-02765 | 07/22/2010 | Claimant(s): Abraham Koch, Cecelia Koch, Trust U/A/D 12/27/90, Cecelia A. Koch Trust U/A/D 12/27/90
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Arthur Weissman, Douglas Kobak, Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Bernard Herman, Peter D. Shelp, Eugene M. Schloss
Hearing Site: Philadelphia, PA
| | Expungement |
| 09-03354 | 07/22/2010 | Claimant(s): Christina Adler-Carhart
Claimant Lawyers(s): Patrick Richmond
Respondent(s): Melanie Sweet, Raymond James Financial Services.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Gary F. Lang, Stuart K. Furman, Pat Anthony Mercurio
Hearing Site: Orlando, FL
| | $99,360 |
