| 10-01209 | 08/03/2011 | Claimant(s): Daniel Kramer
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Wachovia Securities, Michael Cobb
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Craig Scott Bartlett, Rick F. Suppa, Robert T. Costello
Hearing Site: Newark, NJ
|  | $60,000 |
| 10-01485 | 07/08/2011 | Claimant(s): The Estate of Seymour Niesen by Co-Execu
Claimant Lawyers(s): Adam M. Green
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | $0 |
| 08-03810 | 05/25/2011 | Claimant(s): Spitz Family Partnership L.P.
Claimant Lawyers(s): Christopher A. Bacotti
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Joan M. Traub, Joshua Mark Zucker, Ronald J. Colombo
Hearing Site: New York, NY
| | $0 |
| 09-06980 | 04/14/2011 | Claimant(s): Keith Stock
Claimant Lawyers(s): Theodore L. Hecht
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Joseph B. Russell, Salvatore J. Bate, Anna Lascar
Hearing Site: New York, NY
| | $0 |
| 08-04466 | 02/07/2011 | Claimant(s): D. Berghorst, Berghorst Snowbird LLC, Berghorst 98 Dynastic Tr/D Berghorst TTE
Claimant Lawyers(s): Andrew J. Melnick
Respondent(s): Citigroup Global Markets., Citigroup Alternative Investments LLC
Respondent Lawyers(s): Alex J. Sabo, Richard C. Szuch
Arbitrator(s): Guy K. Stewart, Monroe Mitchel, Mark Sidell, Eugene Michael Kennedy, John B. Sochacki, Alfred L. Simon
Hearing Site: Boca Raton, FL
| | $2,000,000 |
| 09-04304 | 11/23/2010 | Claimant(s): Myrna Axelrod
Claimant Lawyers(s): Elizabeth Genn
Respondent(s): Jack Kolker, UBS Financial Services Inc.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Sid Braufman, Martin H. Zern, Donald Raymond McNally
Hearing Site: New York, NY
| | $0 |
| 08-04172 | 08/11/2009 | Claimant(s): Alex Zhardanovsky
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Theodor Brown, James J. Fishman, David Serko
Hearing Site: New York, NY
| | $284,701 |
| 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 |
| 07-00168 | 03/28/2008 | Claimant(s): Fatima Belaid
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Jeffrey Halpert, The Jeffrey Matthews Financial Grp LLC
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Kenneth Diamond
Hearing Site: New York, NY
| | $0 |
| 06-03931 | 02/06/2008 | Claimant(s): Patricia Murphy
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): Chintaman Dalvi, James Patten, Empire Financial Group., Greater Metropolitan Investment Serv., T.R. Winston & Company
Respondent Lawyers(s): Eden L. Rohrer, James Patten, Richard C. Szuch, Sheryl M. Goski, Todd Zuckerbrod
Arbitrator(s): Leon Henderson, Donald Cornelius Morrison, Alan L. Berger
Hearing Site: Raleigh, NC
| | $1,165,800 |
