| 08-03362 | 04/21/2009 | Claimant(s): Kathy Sechrist
Claimant Lawyers(s): Kathy Sechrist
Respondent(s): E* Trade Secuities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Avery B. Goodman
Hearing Site: Cheyenne, WY
|  | $675 |
| 08-02599 | 04/20/2009 | Claimant(s): Betsy Rubin, Fred Rubin Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): David L. Hodgson, Steven E. Eisenberg, Gary Paul Whorton
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 07-02813 | 04/17/2009 | Claimant(s): Mary Colunga
Claimant Lawyers(s): William Hopkins
Respondent(s): Andrew Longoria, Capital Financial Services., GunnAllen Financial., LRS Investments
Respondent Lawyers(s): Janiece M. Longoria, Jay Marc Israel, Robert Tyler
Arbitrator(s): Morris Rubin, Sherry R. Wetsch, Larry J. Craddock
Hearing Site: Houston, TX
| | $47,500 |
| 08-00381 | 04/17/2009 | Claimant(s): Pana Merchant
Claimant Lawyers(s): Matthew Clement
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Michael L. Lyons, R. Phillip Reed, Michael William Petty
Hearing Site: St. Louis, MO
| | $0 |
| 08-04010 | 04/17/2009 | Claimant(s): Seth D. Rose and Louise Rose
Claimant Lawyers(s): Seth Rose
Respondent(s): John Dolan, UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | $213 |
| 08-01009 | 04/16/2009 | Claimant(s): Cass Shewbart
Claimant Lawyers(s): Cass Shewbart
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): George A. Sellnau
Hearing Site: Houston, TX
| | $5,213 |
| 04-00772 | 04/16/2009 | Claimant(s): Isabelita Nopuente, OB1 Ltd
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Cornelius Choy, H.D. Vest Investment Services
Respondent Lawyers(s): Gary S. Kessler, Robert T. Sullwold
Arbitrator(s): Thomas H. O'Connor, Peter H. Daly, Joseph A. Lasky
Hearing Site: San Francisco, CA
| | $0 |
| 08-02018 | 04/16/2009 | Claimant(s): Holly Angell Hardman, Trustee
Claimant Lawyers(s): Ari J. Hoffman
Respondent(s): Arthur Grossbard, Royal Alliance Associates.
Respondent Lawyers(s): Thomas M. Campbell
Arbitrator(s): June Y. Kilmarx, Howard M. Miller, Peter Svorinic
Hearing Site: Boston, MA
| | $0 |
| 08-04189 | 04/16/2009 | Claimant(s): Charles Hunter Branch (Estate)
Claimant Lawyers(s): William Todd Branch
Respondent(s): Kent Greenway, H. Beck.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Stanley H. Ragle
Hearing Site: Richmond, VA
| | $213 |
| 08-01074 | 04/14/2009 | Claimant(s): Patty Mattson
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Oppenheimer & Co.., Lawrence Goldstein, Ronald Gershon
Respondent Lawyers(s): Mitchell J. Albert
Arbitrator(s): Kenneth I. Rosenblum, Arthur T. Berggren, Eric Gad Forster
Hearing Site: Los Angeles, CA
| | $22,000 |
