| 12-01553 | 10/17/2012 | Claimant(s): Kenneth Volz, Nancy Volz
Claimant Lawyers(s): Kenneth H. Volz, Nancy M. Volz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
|  | $0 |
| 11-00013 | 10/16/2012 | Claimant(s): Marc Henig
Claimant Lawyers(s): Marc Henig
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Christina Kallas
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 12-00498 | 10/03/2012 | Claimant(s): Kirk Baerwaldt and Maxine Baerwaldt
Claimant Lawyers(s): Kirk Baerwaldt
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Las Vegas, NV
| | $0 |
| 12-01323 | 08/28/2012 | Claimant(s): Simon Shortman, Simon P. Shortman and Rebecca W. Shortma
Claimant Lawyers(s): Rose M. Schindler
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Walter P. Hitchcock
Hearing Site: San Francisco, CA
| | $0 |
| 12-00393 | 08/01/2012 | Claimant(s): Ramin Modiri, Tahmineh Modiri
Claimant Lawyers(s): Ramin Modiri
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): James S. Martin
Hearing Site: San Francisco, CA
| | $0 |
| 11-02945 | 07/26/2012 | Claimant(s): Fred Prudhomme
Claimant Lawyers(s): James A. McGurk
Respondent(s): Arnold Janickas, E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Ray J. Grzebielski, Caroline N. Harney, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $140,300 |
| 10-05584 | 05/10/2012 | Claimant(s): Louis Najdzin
Claimant Lawyers(s): Peter Nichols
Respondent(s): E*Trade Securities LLC, William Velthaus
Respondent Lawyers(s): John Bersin
Arbitrator(s): Ronald Citron, Alan Shaw, Bernard M. Levine
Hearing Site: Newark, NJ
| | Expungement |
| 10-05820 | 04/27/2012 | Claimant(s): Surendra Gupta
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Frederick Michael Switzer, Robert J. Bohle, David F. Barrett
Hearing Site: St. Louis, MO
| | Expungement |
| 10-04493 | 01/09/2012 | Claimant(s): James Donohue, James L. Donohue IRA, Revocable Living Trust 5/30/2000
Claimant Lawyers(s): Douglas A. Loefgren, James L. Donohue
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Donald Dreyfus, Denise Kathleen Gaines, Aryka Steele Radke
Hearing Site: Phoenix, AZ
| | Expungement |
| 11-02100 | 12/30/2011 | Claimant(s): Kelly Martinsen
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Ilene Barbara Zatkin-Butler, Joseph F. Kelley, Robert M. Goldstein
Hearing Site: New York, NY
| | Expungement |
