| 09-06604 | 04/29/2010 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Joseph Buscema
Respondent Lawyers(s): Joseph Buscema
Arbitrator(s): Madelyn A. Levy
Hearing Site: New York, NY
|  | $0 |
| 08-01179 | 04/29/2010 | Claimant(s): J. Holbrook., James B. Willard TTEE of Beverly Hudson
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Hornor, Townsend & Kent.
Respondent Lawyers(s): George D. Fagan
Arbitrator(s): Peter M Brabbee, Alexandra M. Linden, William Michael Samsel
Hearing Site: Reno, NV
| | $83,000 |
| 09-00314 | 04/29/2010 | Claimant(s): Michelle Iafrate, Robert Iafrate, RJ and MD Iafrate Family Trust
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Wachovia Securities, Robert Wolter
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Ronald O. Bub, Joseph T. Donnantuoni, Michael D. Briggs
Hearing Site: San Diego, CA
| | $17,534 |
| 09-04372 | 04/29/2010 | Claimant(s): Amsal Woreta and Aklog Birara
Claimant Lawyers(s): Amsal Woreta
Respondent(s): E*Trade Securities LLC, Marcelo Miano
Respondent Lawyers(s): John Bersin
Arbitrator(s): Richard E. Lauziere, Jane C. Carney, William P. Borduin
Hearing Site: Baltimore, MD
| | Expungement |
| 09-05684 | 04/29/2010 | Claimant(s): Laurens Hoppenbrouwer
Claimant Lawyers(s): Laurens M. Hoppenbrouwer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Richard P. Regan
Hearing Site: Washington, DC
| | $1,163 |
| 09-04006 | 04/29/2010 | Claimant(s): Betty Alden, Christine Garza, Cruz Chavez, Flavio Alarcon, Jennifer Beaver, Joe Paulson, Keith Beatty, Virginia Alarcon
Claimant Lawyers(s): Joseph S. Fogel
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Fredrick A. Rafeedie
Arbitrator(s): David J. Anderson, Robert S. Fash, Seymour Schoen
Hearing Site: Los Angeles, CA
| | $0 |
| 09-00360 | 04/28/2010 | Claimant(s): Harold Johnson and Mary Johnson, JTW ROS
Claimant Lawyers(s): Terry D. Kordeliski
Respondent(s): A.G. Edwards & Sons., Thomas Avant
Respondent Lawyers(s): Timothy J. Bomhoff
Arbitrator(s): Robert D. Garrett, Rowland Denman, John Burke Garrett
Hearing Site: Oklahoma City, OK
| | Improvement on Annuity Benefit was granted |
| 09-06414 | 04/28/2010 | Claimant(s): S. McKittrick Trust, TTEE Sharon McKittr
Claimant Lawyers(s): Sharon McKittrick Coulton
Respondent(s): David Goldberg, UBS Financial Services Inc., Loy McGowan, Scott Vehslage
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Frances D. Sheehy
Hearing Site: Boca Raton, FL
| | $2,225 |
| 08-01973 | 04/27/2010 | Claimant(s): The Minette B. Fisher Family Trust, The Nanette L. Fisher Family Trust, The Roe Green Foundation, The Roe Green Trust
Claimant Lawyers(s): James F. Koehler
Respondent(s): Charles Schwab, Evelyn Dilsaver, George Pereira, Charles Schwab & Co.., Randall Merk, Robert Lewandowski, Roger Baranovic, Schwab Investments, The Charles Schwab Corporation
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Ellen Holland Keller, Kathleen P. Helbig-Hannan, Harold Dean Tolbert
Hearing Site: Cleveland, OH
| | $310,074 |
| 09-02843 | 04/27/2010 | Claimant(s): Ettore Stratta, Patricia Stratta
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Andrew Wolff, Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | $67,114 |
