| 09-05723 | 04/09/2010 | Claimant(s): Evans Benton
Claimant Lawyers(s): Evans Benton
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Eric Spencer Buchanan
Hearing Site: Little Rock, AR
|  | $0 |
| 07-03068 | 04/08/2010 | Claimant(s): Gregory Hunter, Virginia Hunter
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Gunnallen Financial., Questar Capital Corporation
Respondent Lawyers(s): Daniel J. Supalla, William J. Schifino
Arbitrator(s): Peter S. Viviano, Martin Brosnan, Veronique M. Liem
Hearing Site: Detroit, MI
| | $94,150 |
| 09-01842 | 04/08/2010 | Claimant(s): Domiciano Redondo
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ronald D. Shildler
Arbitrator(s): Constance d'Angelis, Lewis W. Slaughter, Charles R. Tindell
Hearing Site: Orlando, FL
| | $102,850 |
| 09-05334 | 04/08/2010 | Claimant(s): Michael M. Crenshaw and Beth R. Crenshaw
Claimant Lawyers(s): Michael M Crenshaw
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): William H. McCarter
Hearing Site: Boston, MA
| | $213 |
| 08-01117 | 04/07/2010 | Claimant(s): Chase Enterprise Holdings, Cheryl Chase Family, DTC Family Investments, The Cheryl Anne Chase Grantor Trust, The Darland Trust
Claimant Lawyers(s): Richard P. Weinstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew R. Paul
Arbitrator(s): Bennett A. Hall, Jane Venckus Zirlis, William D. Stempel
Hearing Site: Hartford, CT
| | $95,856 |
| 09-01187 | 04/07/2010 | Claimant(s): Richard and Barbara Danielewski
Claimant Lawyers(s): Harwell M. Darby
Respondent(s): Brecc Avellar, Avellar Advisors., Synergy Investment Group
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): George T. Baskerville, Janice L. Burnham, Donita M. King
Hearing Site: Richmond, VA
| | Stipulated Award and Expungement |
| 09-02905 | 04/07/2010 | Claimant(s): Carlo Robles, Cynthia Rivera-Figueroa
Claimant Lawyers(s): Juan Marques, Rafael E. Lugo-Sotomayor
Respondent(s): Oriental Financial Services Corp.
Respondent Lawyers(s): Alfredo Fernandez-Martinez
Arbitrator(s): Joseph J. Slotnik, Nicholas John Taldone, Stuart K. Furman
Hearing Site: San Juan, PR
| | $44,145 |
| 09-01591 | 04/07/2010 | Claimant(s): James Wortman
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): Sovereign Advisers, Uvest Financial Services Group.
Respondent Lawyers(s): Lisa L. Tharpe, Sara B. Davis
Arbitrator(s): Zeb E. Barnhardt, William H. McCullough, Robert O. Belo
Hearing Site: Raleigh, NC
| | $0 |
| 08-04631 | 04/06/2010 | Claimant(s): Joseph Allegretta and Suzanne Allegretta, JAT Construction Co.. Def Bene PP
Claimant Lawyers(s): Christine Sgarlata Chung
Respondent(s): Mark Casolo, McGinn, Smith & Co.., Westrock Advisors.
Respondent Lawyers(s): Christopher R. Travis, Thomas D. Buchanan
Arbitrator(s): Stuart M. Schwartz, Sheldon Dinowitz, Ronald J. Vero
Hearing Site: Albany, NY
| | $1,923,670 |
| 08-04107 | 04/05/2010 | Claimant(s): Alan Wein, Noele Wein, Nolan Services.
Claimant Lawyers(s): Michael B. Dubin
Respondent(s): Jeffrey Schrader, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano, Michael Kalmus
Arbitrator(s): Steven T. Stern, Dale A. Pope, David B. Harwi
Hearing Site: Philadelphia, PA
| | Expungement |
