| 09-01578 | 01/15/2010 | Claimant(s): Steven L. Linsey Trust
Claimant Lawyers(s): Steven L. Linsey
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Michelle Judy Brant
Hearing Site: San Francisco, CA
|  | $47,272 |
| 08-00452 | 12/30/2009 | Claimant(s): Paige Sherman
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Richard L. Rubin, Laura Effel, Robert M. Lubin
Hearing Site: San Francisco, CA
| | |
| 08-03552 | 12/23/2009 | Claimant(s): G. Menyharth
Claimant Lawyers(s): G. Paul Menyharth
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Paul D. Gutierrez
Hearing Site: San Francisco, CA
| | $0 |
| 09-00378 | 12/22/2009 | Claimant(s): Vasu Arora
Claimant Lawyers(s): Vasu D. Arora
Respondent(s): TD Ameritrade., Joseph Moglia
Respondent Lawyers(s): Brad S. Daniels, Lois O. Rosenbaum
Arbitrator(s): Gary A. Hooker, Thomas D. Reese, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $0 |
| 08-00527 | 12/21/2009 | Claimant(s): David Lehrer, Dennis Contrestano, Jack Swenson, Michael Luby, Michael Patterson, Michael Swenson, Patrick Howell, Stephen Hird
Claimant Lawyers(s): Amanda M. Knudsen
Respondent(s): Piper Jaffray & Co., Piper Jaffray Companies
Respondent Lawyers(s): Julie A. Kole
Arbitrator(s): Thomas C. McNally, Sterling N. Frost, Jerold R. Babin
Hearing Site: San Francisco, CA
| | |
| 09-03249 | 12/21/2009 | Claimant(s): Felton A. Ferrini Living Trust
Claimant Lawyers(s): Roger B. Frederickson
Respondent(s): Harry Fischer, RBC Capital Markets LLC
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Amy Seltzer
Hearing Site: San Francisco, CA
| | Expungement |
| 09-03505 | 12/17/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): David Jeromin
Respondent Lawyers(s): David John Jeromin
Arbitrator(s): Charles E. Farnsworth
Hearing Site: San Francisco, CA
| | |
| 09-01635 | 12/16/2009 | Claimant(s): Estate of Chaille M. Love, Deceased
Claimant Lawyers(s): H. Lee Horner
Respondent(s): Lisaann Nouchi, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Robert M. Lubin, Michael J. Fish, Alan Richard Carlisle
Hearing Site: San Francisco, CA
| | $0 |
| 09-03903 | 12/15/2009 | Claimant(s): William L. Price (IRA R/O)
Claimant Lawyers(s): William L. Price
Respondent(s): Wachovia Securities, Robert Krebs
Respondent Lawyers(s): Judy Louie
Arbitrator(s): John Patrick Kelly
Hearing Site: San Francisco, CA
| | $213 |
| 09-03589 | 12/10/2009 | Claimant(s): Carolyn Broughton
Claimant Lawyers(s): Carolyn Broughton
Respondent(s): Brandon Coombs, E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): George King
Hearing Site: San Francisco, CA
| | $75 |
