| 08-04123 | 06/08/2010 | Claimant(s): Scott Thayer
Claimant Lawyers(s): Elliott L. Epstein
Respondent(s): Richard Liberty, Commonwealth Financial Network
Respondent Lawyers(s): Steven L. Manchel
Arbitrator(s): Mary C. Kelleher, Jack A. Marshall, Shari B. Broder
Hearing Site: Augusta, ME
|  | $0 |
| 09-04809 | 06/08/2010 | Claimant(s): Frederick Visconti, Mary Visconti
Claimant Lawyers(s): Richard De Vita
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Brian J. Burstin, James R. MacCrate, Brian R. Cohen
Hearing Site: New York, NY
| | $0 |
| 09-05490 | 06/08/2010 | Claimant(s): Estate of Zona Mrus by Mary Wickett, Exe
Claimant Lawyers(s): David K. Silverberg
Respondent(s): Robert Vogel, Advantage Capital Corporation
Respondent Lawyers(s): Laurie Styka Bloom
Arbitrator(s): Howard B. Cohen
Hearing Site: Buffalo, NY
| | $0 |
| 09-01881 | 06/07/2010 | Claimant(s): Betsy Klausman, Michael Klausman, IRA, MIchael Klausman, Roth IRA
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): J. Alden Associates.
Respondent Lawyers(s): Rita Durant
Arbitrator(s): Benjamin F. Richards, Daniel E. Bacine, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
| | $0 |
| 08-04049 | 06/04/2010 | Claimant(s): Christianson, Norman & Ellen
Claimant Lawyers(s): Michael C. Skouteris
Respondent(s): Morgan Keegan & Company., William Wolbrecht
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): James B. Eichberg, Bruce Brown, James Gary Fitch
Hearing Site: Denver, CO
| | $247,557 |
| 09-01822 | 06/04/2010 | Claimant(s): JoAnne Simas, Joseph Simas
Claimant Lawyers(s): Mitchell Albert
Respondent(s): WAMU Investments., Jim McElravy
Respondent Lawyers(s): Robert J. Stumpf
Arbitrator(s): Donald S. Duerson, John P. Wilson, Walter J. Huntley
Hearing Site: San Francisco, CA
| | $350,000 |
| 09-02871 | 06/04/2010 | Claimant(s): David Wechsler and Amy Wechsler JT/TIC
Claimant Lawyers(s): David E. Robbins
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Megan Shea-Harwick
Arbitrator(s): Alan K. Bloom, Joan Marie Chiusano, Daniel P. Lund
Hearing Site: New York, NY
| | $1,319,800 |
| 08-01962 | 06/04/2010 | Claimant(s): Edith Vogelhut
Claimant Lawyers(s): Robert J. Hanreck
Respondent(s): Leslie Posner, Martin Posner, Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Bank & Trust Co., FSB
Respondent Lawyers(s): A. Patricia Christiansen, Jonathan A. Azrael, Martin Posner
Arbitrator(s): Stuart M. Rapee, Gerald Silverman, James Conrad Sankpill
Hearing Site: Miami, FL
| | $0 |
| 08-04373 | 06/04/2010 | Claimant(s): Marina Braun
Claimant Lawyers(s): Justine Fischer
Respondent(s): Wachovia Securities, Julian Albert
Respondent Lawyers(s): Demian J. Betz, Michael J. Abbott
Arbitrator(s): Clyde Fahlman, William J. Chambers, G. E. Craig Doupe
Hearing Site: Portland, OR
| | $0 |
| 09-02703 | 06/03/2010 | Claimant(s): William Tolson, William E. Tolson 2006 Rev Inter-Vivos T
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Howard Pearlman, Wachovia Capital Markets
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Frank R Weaver, Robert M. Lubin, Alan Richard Carlisle
Hearing Site: San Francisco, CA
| | Expungement |
