| 09-05094 | 03/15/2010 | Claimant(s): Rados Family Limited Partnership
Claimant Lawyers(s): Joram Rados
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John Castelly
Arbitrator(s): Harold I. Geringer
Hearing Site: New York, NY
|  | $88 |
| 09-05448 | 03/15/2010 | Claimant(s): Surviving Settlors Trust, UW G&E Derbyshire Trust
Claimant Lawyers(s): George H. Derbyshire
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Catherine L. Luth
Arbitrator(s): Marc Kalish
Hearing Site: Las Vegas, NV
| | $0 |
| 09-01655 | 03/12/2010 | Claimant(s): David Driesen
Claimant Lawyers(s): David M. Driesen
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): Frank C. Fogl
Hearing Site: Rochester, NY
| | $7,664 |
| 09-02041 | 03/12/2010 | Claimant(s): Joseph Quill, Dr. Joseph R. Quill, Grantor and Benefic
Claimant Lawyers(s): Jean Hanna Bickhart
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): John J. Jordan, Fred M. Fleisher, Robin L. Lewis
Hearing Site: Philadelphia, PA
| | $110,800 |
| 09-05047 | 03/12/2010 | Claimant(s): Brandy Rowan
Claimant Lawyers(s): Brandy Rowan
Respondent(s): Royal Alliance Associates., Mark Steckler, Caruso McLean & Co.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Frank C. Fogl
Hearing Site: Syracuse, NY
| | $2,748 |
| 09-01156 | 03/12/2010 | Claimant(s): Abraham Soldaner
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): James J. Fishman, Pamela H. Roderick, Frank Irizarry
Hearing Site: New York, NY
| | $0 |
| 08-04330 | 03/11/2010 | Claimant(s): Henrietta Silverman
Claimant Lawyers(s): Jeffrey W. Kleiner
Respondent(s): Barry Richter, Stifel, Nicolaus & Co.., Leonard Weintraub, Sheila Richter
Respondent Lawyers(s): Joseph F. Generelli, Leonard Weintraub
Arbitrator(s): Robert L. Nisely, Charles S. Guggenheimer, Charles L. Henderson
Hearing Site: New York, NY
| | Expungement |
| 08-03264 | 03/11/2010 | Claimant(s): Adam Frank, Isaac Frank, Laurence Frank, Adam Joel Frank IRA, Isaac Frank IRA, Laurence M. Frank IRA, Lois L. Frank, Lois L. Frank IRA
Claimant Lawyers(s): James K. Langdon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Howard S. Levine, Frank W. Virgin, Andy W. Morgan
Hearing Site: Atlanta, GA
| | $0 |
| 08-03947 | 03/10/2010 | Claimant(s): Sturla Terry Canale Living Trust
Claimant Lawyers(s): Jan Douglas Atlas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): John P. Cullem, Howard L. Hill, Donald R. Smith
Hearing Site: Tampa, FL
| | $50,000 |
| 09-00003 | 03/10/2010 | Claimant(s): Colette McDonald
Claimant Lawyers(s): Adolph D. Seltzer
Respondent(s): Daniel Devaney, Samuel A. Ramirez & Company.
Respondent Lawyers(s): Meredith Jowers Lees
Arbitrator(s): Robert Pincus, Robert I. Adler, Roy L. Weiss
Hearing Site: New York, NY
| | $53,000 |
