| 08-04669 | 12/11/2009 | Claimant(s): Mark Perlman
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): Michael Lau, Charles Hoffman, Randi Perry Spallina
Hearing Site: Boca Raton, FL
|  | $43,357 |
| 08-00648 | 12/11/2009 | Claimant(s): Augustus Capers, Gertrude Capers
Claimant Lawyers(s): Gertrude H. Capers
Respondent(s): Quest Capital Strategies., Ridge Clearing & Outsourcing Solutions
Respondent Lawyers(s): Louis H. Miron
Arbitrator(s): Kip C. Lubcke, Margaret Leggett Tarver, Chris H. Naum
Hearing Site: Newark, NJ
| | $0 |
| 09-00067 | 12/10/2009 | Claimant(s): George Rumelt
Claimant Lawyers(s): George L. Rumelt
Respondent(s): David Lerner Associates., John Fielding
Respondent Lawyers(s): Joseph C. Pickard
Arbitrator(s): Richard A. Jacobs
Hearing Site: New York, NY
| | $10,000 |
| 09-01309 | 12/10/2009 | Claimant(s): Peter Lucido
Claimant Lawyers(s): Peter J. Lucido
Respondent(s): Oppenheimer & Co.., Mark Miriani
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Jeffry M. Bauer, Harvey Frank, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
| | $30,225 |
| 07-02258 | 12/10/2009 | Claimant(s): Charles Costanzo
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Morgan Stanley & Co., Ronald Harris
Respondent Lawyers(s): Christopher M. Wilson
Arbitrator(s): E. William Pastor, Kenneth Joseph Beahan, Joseph Grant McCabe
Hearing Site: Philadelphia, PA
| | $0 |
| 09-00399 | 12/10/2009 | Claimant(s): William T. Corp. and Shirley F. Corp
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Suntrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrills
Arbitrator(s): Constance d'Angelis, Linda Fairchild, Benjamin L. Abramowitz
Hearing Site: Orlando, FL
| | $0 |
| 09-03589 | 12/10/2009 | Claimant(s): Carolyn Broughton
Claimant Lawyers(s): Carolyn Broughton
Respondent(s): Brandon Coombs, E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): George King
Hearing Site: San Francisco, CA
| | $75 |
| 09-03632 | 12/09/2009 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Brandon K. Hemley
Respondent(s): Wei-Chen Chen and Hsiu-Min Huang
Respondent Lawyers(s): Wei-Chen Chen
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | $0 |
| 08-03503 | 12/09/2009 | Claimant(s): Dwight Dunton, BPMS Wheaton Square, Mountain Energy Inc.
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Lonnie L. Simpson
Arbitrator(s): Donald H. Newlin, Beverly F. Druitt, Christopher M. McMurray
Hearing Site: Richmond, VA
| | $0 |
| 08-04646 | 12/09/2009 | Claimant(s): H. Roark & Associates.
Claimant Lawyers(s): Brad M. Johnston
Respondent(s): PowerChem LLC
Respondent Lawyers(s): Stephen Coontz
Arbitrator(s): Edwin C. Shiver, Fred D. Butler, Sean B. Meehan
Hearing Site: Reno, NV
| | $0 |
