| 08-02610 | 02/12/2009 | Claimant(s): Dr. Robert B. Richards, Estee L. Richards
Claimant Lawyers(s): Robert B. Richards
Respondent(s): Wachovia Securities, Diego Velasquez
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Marie G. Peterson
Hearing Site: Ft. Lauderdale, FL
|  | $425 |
| 08-02910 | 02/11/2009 | Claimant(s): Michelle Napoli
Claimant Lawyers(s): Michelle L. Napoli
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paula M. McManus
Arbitrator(s): Jerry H. Friedland
Hearing Site: Phoenix, AZ
| | $4,993 |
| 05-06113 | 02/11/2009 | Claimant(s): Ruth Slechta, Libor Slechta Trust UA DTD 3/25/96
Claimant Lawyers(s): Sandra J. Budnick
Respondent(s): Wachovia Securities, Dennis Yetter, Prudential Equity Group, Yetter & Yetter Investment Group
Respondent Lawyers(s): Brian Witus, Demian J. Betz
Arbitrator(s): Nancy R. Papo, John P. Gouttiere, Paul Sislin
Hearing Site: Detroit, MI
| | $375 |
| 08-00218 | 02/10/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Steven G. Leventhal
Respondent(s): Saul Kaminsky
Respondent Lawyers(s): Saul Kaminsky
Arbitrator(s): Lowell D. Johnston
Hearing Site: New York, NY
| | $0 |
| 08-01033 | 02/10/2009 | Claimant(s): Karen Schneiderman, IRA, Robert Schneiderman, Schneiderman Trust UAD 05/22/91
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Harvey C. Flodin, Jerome M. Libenson, Edward Anthony Reguero
Hearing Site: San Diego, CA
| | $125,000 |
| 08-00756 | 02/09/2009 | Claimant(s): Khalil Abbasi and David Abbasi
Claimant Lawyers(s): David Abbasi
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Robert H. Putnam, Howard S. Levine, Arthur P. Barry
Hearing Site: Atlanta, GA
| | $0 |
| 07-02621 | 02/06/2009 | Claimant(s): Optionshouse.
Claimant Lawyers(s): Breck Harrison
Respondent(s): Amir Jivani, Daniel Rosenthal, James Halm, Raza Jivani, Robert Baldwin, Tycho Clayton, Interactive Brokers LLC, Penson Financial Services.
Respondent Lawyers(s): Breck Harrison, John J. Nielands, Jonathan D. Neerman, Richard J. Gerace
Arbitrator(s): Michael Hendryx, William Edward Buck, Maurice J. Fallas
Hearing Site: Houston, TX
| | $51,575 |
| 08-01448 | 02/06/2009 | Claimant(s): Lily Azmoun
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Scott & Stringfellow, Ronald Salyer
Respondent Lawyers(s): Douglas M. Palais, Ronald Leslie Salyer
Arbitrator(s): Christopher M. McMurray, Wilson Thompson, Dolores Marie Coutts
Hearing Site: Washington, DC
| | $100,225 |
| 08-00882 | 02/06/2009 | Claimant(s): Edward Francis Spencer Revocable Trust
Claimant Lawyers(s): Gene E. Mitchell
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Gary S. Jefferson, Leonard E. Benade, Donald Milo Helton
Hearing Site: New Orleans, LA
| | $0 |
| 08-01775 | 02/06/2009 | Claimant(s): William Aste
Claimant Lawyers(s): James J. Aste
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Jon C. Milliken
Hearing Site: San Diego, CA
| | $0 |
