| 11-01828 | 11/30/2011 | Claimant(s): Alejandro Velez
Claimant Lawyers(s): Alejandro Velez
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Sheldon I. Saitlin
Hearing Site: Ft. Lauderdale, FL
|  | $163 |
| 11-01551 | 11/10/2011 | Claimant(s): Eileen B. Cohen and Allen A. Cohen JTWRO
Claimant Lawyers(s): Marvin T. Bornstein
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Mary Margaret Bush
Hearing Site: Reno, NV
| | $12,617 |
| 11-00935 | 09/29/2011 | Claimant(s): Lois Moser, Royce Moser
Claimant Lawyers(s): Royce Moser
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Bruce Brown
Hearing Site: Salt Lake City, UT
| | $362 |
| 11-00960 | 08/30/2011 | Claimant(s): Dylan Brooks
Claimant Lawyers(s): Dylan Brooks
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Charlotte, NC
| | $0 |
| 10-03876 | 06/28/2011 | Claimant(s): Keith Minnema
Claimant Lawyers(s): David E. Robbins
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Walter A. Kapuscinski, Morton S. Bunis, Neal D. Baker
Hearing Site: Newark, NJ
| | Expungement |
| 10-03436 | 06/15/2011 | Claimant(s): Barbara Vavrina, Janice Vavrina, Randall Vavrina, Randall E. Vavrina Trust Account
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): James A. Hayes, Bryan L. Johnson, Rebecca Sue Abell-Brown
Hearing Site: Omaha, NE
| | $0 |
| 10-01620 | 05/05/2011 | Claimant(s): Donald Eckrod
Claimant Lawyers(s): W. Scott Greco
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Peter B. Vaden, Timothy P. Bogan, Christopher M. McMurray
Hearing Site: Richmond, VA
| | Expungement |
| 10-03172 | 05/05/2011 | Claimant(s): Leonard A. Miller Roth IRA E*Trade Cust.
Claimant Lawyers(s): Leonard A. Miller
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | $76 |
| 09-06565 | 05/02/2011 | Claimant(s): Nicholas Palumbo
Claimant Lawyers(s): Nicholas Palumbo
Respondent(s): E*Trade Securities LLC, E*Trade Clearing LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Gordon M. Wase, James T. McLaughlin, John E. Felch
Hearing Site: Philadelphia, PA
| | $0 |
| 09-01923 | 03/14/2011 | Claimant(s): Ben Joseph Trust (UA DTD 12/31/82, Epstein Real Estate Advisory Ret. Trust
Claimant Lawyers(s): Peter A. Lagorio
Respondent(s): Adam Gutman, E*Trade Securities LLC
Respondent Lawyers(s): Richard Michaud
Arbitrator(s): Pete S. Michaels, Arthur J. Giacomarra, Steven S. Manos
Hearing Site: Boston, MA
| | Stipulated Award and Expungement |
