| 08-00363 | 09/24/2009 | Claimant(s): Mr. Robert J. Kraus
Claimant Lawyers(s): Ryon M. McCabe
Respondent(s): Christopher Fluehr, Suntrust Investment Services.
Respondent Lawyers(s): Richard H. Bergman
Arbitrator(s): Steven A. Hurst, Thomas Anthony Van Tiem, Mauricio Arcadier
Hearing Site: Boca Raton, FL
|  | Stipulated Award and Expungement |
| 08-02775 | 09/24/2009 | Claimant(s): Zvi Osterweil
Claimant Lawyers(s): Rebecca C. Davis
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger, Joseph L. Calabrese
Arbitrator(s): Joan M. Traub, Michael Ross, Charles F. Titterton
Hearing Site: New York, NY
| | $40,000 |
| 08-01911 | 09/24/2009 | Claimant(s): Robert Young
Claimant Lawyers(s): Robert C. Young
Respondent(s): Charles Teixeira, John Loughran, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason D. Lane
Arbitrator(s): Earl S. Schwarz, Irene C. Warshauer, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 08-04701 | 09/23/2009 | Claimant(s): Paul Edwards
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Charles Schwab & Co.., Randall Merk, Rupesh Shah
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Ralph A. Cotton, Terry M Lloyd, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $25,000 |
| 08-02448 | 09/23/2009 | Claimant(s): Ava Doppelt, Carl Napolitano, Herbert Allen, Michael Taylor, Richard Warther, Sandra Kemraj, Stephen Milbrath, 401k PSP & Trust for Employees
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Stan West, Irwin Baron, Mitchel Weiss
Hearing Site: Orlando, FL
| | $0 |
| 08-04436 | 09/23/2009 | Claimant(s): Ann Lerner
Claimant Lawyers(s): Ann Lerner
Respondent(s): Bear Stearns & Company.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Allan E. Johnson, Barbara Sullivan-Parry, Edward A. Markward
Hearing Site: New York, NY
| | $0 |
| 08-04299 | 09/22/2009 | Claimant(s): Jennifer McNulty
Claimant Lawyers(s): Robert A. Vallone
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | $5,700 |
| 09-01250 | 09/22/2009 | Claimant(s): Robert Dillon and Nancy Dillon
Claimant Lawyers(s): Scott M. Dimond
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Barton Wayne Cox
Arbitrator(s): George G. Kurschner
Hearing Site: Ft. Lauderdale, FL
| | $18,770 |
| 08-04465 | 09/21/2009 | Claimant(s): Ruth Grafton
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Joe Carrino, Matthew Waddell, Troy Goldberg
Respondent Lawyers(s): David A. Rolling, Matthew Waddell
Arbitrator(s): Simone Sicola, Robert N. Duggan, Christopher Mark Aiello
Hearing Site: Orlando, FL
| | $11,500 |
| 08-02743 | 09/21/2009 | Claimant(s): The 2000 Melnitzer Revocable Trust
Claimant Lawyers(s): Rudy Melnitzer
Respondent(s): Wells Fargo Investments, Michael Hobson
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Amy Seltzer, Elmo E. Wedderburn, Sheldon Michaels
Hearing Site: San Francisco, CA
| | $0 |
