| 08-03431 | 10/23/2009 | Claimant(s): Henrietta Costa IRA (Roll Over), John T. Costa, IRA
Claimant Lawyers(s): George L. Mahr
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): John Castelly
Arbitrator(s): Maria D. Cirillo, Thomas M. Crawford, Stanley M. Lenkowicz
Hearing Site: Newark, NJ
|  | $8,342 |
| 08-04898 | 10/23/2009 | Claimant(s): NIlda Lupco
Claimant Lawyers(s): Nilda Lupco
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Lonnie L. Simpson
Arbitrator(s): Ian S. Greig
Hearing Site: Tampa, FL
| | $0 |
| 09-00912 | 10/22/2009 | Claimant(s): BBVA Securities of Puerto Rico.
Claimant Lawyers(s): Sonia Marbarak
Respondent(s): Ramon Cantero-Frau
Respondent Lawyers(s): Alexis Fuentes-Hernandez
Arbitrator(s): Monroe Mitchel
Hearing Site: San Juan, PR
| | |
| 08-02325 | 10/22/2009 | Claimant(s): Pamela Whitney
Claimant Lawyers(s): Steven M. Harris
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Estate of Mary Whitney, Estate of Suzanne Whitney
Respondent Lawyers(s): Steven M. Harris, Tara A. LaClair
Arbitrator(s): Robert D. Garrett, Billy H. Ware, G. Maynard Green
Hearing Site: Oklahoma City, OK
| | $0 |
| 09-02309 | 10/22/2009 | Claimant(s): Anthony R. Bonello
Claimant Lawyers(s): Anthony R. Bonnello
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Elizabeth K. Norsworthy
Hearing Site: Montpelier, VT
| | $0 |
| 09-02395 | 10/22/2009 | Claimant(s): Audrey Wolfe
Claimant Lawyers(s): Audrey Wolfe
Respondent(s): Joseph Headlee, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Elmer G. Cowan
Hearing Site: Pittsburgh, PA
| | $0 |
| 07-03558 | 10/21/2009 | Claimant(s): Jules Fox
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Timothy Ruggiero, Brookshire Securities Corporation
Respondent Lawyers(s): Timothy Burke Ruggiero
Arbitrator(s): Robert B. Kane, Paul W. Sterman, Joyce N. Brown
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 08-00752 | 10/21/2009 | Claimant(s): John Deakin
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): James Pecoraro, John Parmigiani, J.P. Turner & Company, L.L.C., Reagan Financial Group
Respondent Lawyers(s): Compliance Officer, Jonathan A. Kurta
Arbitrator(s): Kenneth L. Stewart, Jill I. Gross, Mindi R. Parrott
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 08-04361 | 10/21/2009 | Claimant(s): David Durdon
Claimant Lawyers(s): Irwin G. Stein
Respondent(s): Scottrade.
Respondent Lawyers(s): Thomas L. Azar
Arbitrator(s): Sandra Lee Dolan, Cynthia R. Pinkney, Thomas J. Dolina
Hearing Site: Baltimore, MD
| | $0 |
| 08-02809 | 10/20/2009 | Claimant(s): Isidore Mayrock, General Partner of REI
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Citigroup Global Markets., Citicorp Investment Services
Respondent Lawyers(s): David J. Butler
Arbitrator(s): J. Martin McDonough, Frank Irizarry, Bernard A. Friedman
Hearing Site: New York, NY
| | $754,000 |
