| 08-04810 | 06/16/2009 | Claimant(s): Michael Prevor Roth IRA
Claimant Lawyers(s): Michael A. Prevor
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): David Rich
Hearing Site: Boca Raton, FL
|  | $5,319 |
| 09-00171 | 06/16/2009 | Claimant(s): Nicholas Cochran
Claimant Lawyers(s): Nicholas C. Cochran
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Mark R. Topper
Hearing Site: San Francisco, CA
| | $0 |
| 08-00362 | 06/15/2009 | Claimant(s): Steven Greenberg, Sylvia Greenberg, William Greenberg
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Capital Growth Financial
Respondent Lawyers(s): Compliance Officer
Arbitrator(s): James M. Baumann, Richard S. Peskin, Martin L. Feinberg
Hearing Site: New York, NY
| | $825,680 |
| 06-00520 | 06/15/2009 | Claimant(s):
Claimant Lawyers(s):
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s):
Hearing Site:
| | $0 |
| 08-02437 | 06/15/2009 | Claimant(s): Santanu Bhattacharya and Gargi Dasgupta
Claimant Lawyers(s): Kevin M. Shelley
Respondent(s): Mitesh Shere, Chicago Investment Group
Respondent Lawyers(s): Brian Neville, Howard Rosenburg
Arbitrator(s): Charles S. Guggenheimer, Arthur H. Sobel, Terrance J. Nolan
Hearing Site: New York, NY
| | $0 |
| 08-04509 | 06/15/2009 | Claimant(s): David Rothschild
Claimant Lawyers(s): David J. Rothschild
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 04-04494 | 06/12/2009 | Claimant(s): Tim Bell
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L Parmelee
Arbitrator(s): Richard P. Flake
Hearing Site: Houston, TX
| | $36,517 |
| 08-04250 | 06/12/2009 | Claimant(s): Charlotte Comfort
Claimant Lawyers(s): Charlotte Comfort
Respondent(s): Ing Direct Securities Inc., Sharebuilder Securities Corporation
Respondent Lawyers(s): C. Dean Little
Arbitrator(s): Stuart H. Dunn, Frank Warren Moore, Roderick B. Mathews
Hearing Site: Richmond, VA
| | $0 |
| 08-00179 | 06/11/2009 | Claimant(s): Henry Klosky and Patricia Klosky
Claimant Lawyers(s): Naill Falls
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John S. Golwen
Arbitrator(s): Irwin S. Sugerman, Norman E. Heyman, Jay R. Robinson
Hearing Site: Memphis, TN
| | $134,000 |
| 07-03529 | 06/11/2009 | Claimant(s): Richard Johnston & Clotilda J. Johnston
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Joseph C. Pickard
Arbitrator(s): Alfred H. Kingon
Hearing Site: New York, NY
| | $0 |
