| 08-04942 | 08/10/2009 | Claimant(s): Michael Leonard
Claimant Lawyers(s): Michael W. Leonard
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Andrew Lipton
Arbitrator(s): James P. McCrocklin
Hearing Site: Louisville, KY
|  | $0 |
| 08-03925 | 08/07/2009 | Claimant(s): W.D. David
Claimant Lawyers(s): J. Pat Sadler
Respondent(s): Man Financial.
Respondent Lawyers(s): Philip Tanzar
Arbitrator(s): William Edmund Burke, Daniel E. Gulden, Arthur Thomas Stephenson
Hearing Site: Atlanta, GA
| | $90,000 |
| 08-00472 | 08/06/2009 | Claimant(s): Donald Halfmann, Patricia Halfmann
Claimant Lawyers(s): John J. Miller
Respondent(s): VFinance Investments.
Respondent Lawyers(s): Adam H. Smith
Arbitrator(s): Michael D. Fitzgerald, Michael A. Kleinman, Robert John McElwain
Hearing Site: Kansas City, MO
| | $759,800 |
| 08-01600 | 08/06/2009 | Claimant(s): James Bach, James Bach Rev. Living Trust UAD 11/4/93
Claimant Lawyers(s): Steve J. Gard
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): George R. Canty, Seth L. Finkel, Andrew David Kahng
Hearing Site: Miami, FL
| | $250,000 |
| 08-04585 | 08/06/2009 | Claimant(s): Harold Kozupsky, Jeanette Kozupsky, Harold and Jeanette Kozupsky, IRA, Harold Kozupsky and Jeanette Kozupsky
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): George Gladman, Ronald Slevin, RBC Dain Raucher
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): John F. Duane, Alvin Green, James D. Yellen
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 08-03607 | 08/06/2009 | Claimant(s): Scottrade.
Claimant Lawyers(s): Thomas L. Azar
Respondent(s): Elisei Chereji
Respondent Lawyers(s): Joseph Soraghan
Arbitrator(s): Albert J. Haller, David B. Lacks, Daniel J. Marsh
Hearing Site: St. Louis, MO
| | $0 |
| 08-04271 | 08/05/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Steven G. Leventhal
Respondent(s): Marvin Wolfman
Respondent Lawyers(s): Marvin I. Wolfman
Arbitrator(s): Linda Ashley
Hearing Site: New York, NY
| | $0 |
| 07-02062 | 08/05/2009 | Claimant(s): Glen Stone, Sandra Stone
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Robert R. Nursey, Robert L. Chisolm, Robert J. Gregory
Hearing Site: Dallas, TX
| | $0 |
| 08-04489 | 08/04/2009 | Claimant(s): Enrico Cassara
Claimant Lawyers(s): Enrico Cassara
Respondent(s): E*Trade Clearing LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Fred S. Pieroni
Hearing Site: Newark, NJ
| | $38 |
| 08-00097 | 08/03/2009 | Claimant(s): Estate of Vera Dennington, Gordon Axton, Norma Axton, Shepard Smith
Claimant Lawyers(s): Jason Pang Fe Lee
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Thomas C. McNally, Donald H. Korn, Thomas E. Quinlin
Hearing Site: San Francisco, CA
| | $146,515 |
