| 10-04386 | 10/02/2014 | Claimant(s): Judith Goldman, Kenneth Goldman
Claimant Lawyers(s): Richard J. Gerace
Respondent(s): Barry Guariglia, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Toby S. Soli
Arbitrator(s): Jim Geiger, Doris J. Dabrowski, James T. McLaughlin
Hearing Site: Philadelphia, PA
|  | $0 |
| 10-00558 | 01/13/2011 | Claimant(s): Antoinette Guenther, Antoinette S. Guenther Revocable Trust
Claimant Lawyers(s): Richard J. Gerace
Respondent(s): Richard Schilffarth, RBC Capital Markets LLC, B. C. Ziegler and Company
Respondent Lawyers(s): Carolyn Guy, Jonathan W. Hackbarth, Nancy L. Hendrickson
Arbitrator(s): Terry F. Peppard, Donald V. Anderson, James P. O'Donnell
Hearing Site: Milwaukee, WI
| | $0 |
| 08-01635 | 04/03/2009 | Claimant(s): Pamela Peterson, Vanky Men, William Peterson
Claimant Lawyers(s): Richard J. Gerace
Respondent(s): Jon Berg, Lisa Newman, Marc Kozberg, Michael Leonard, Richard Husebo, Oak Ridge Holding Corporation, The Oak Ridge Financial Services Group,
Respondent Lawyers(s): Christopher A. Grgurich
Arbitrator(s): Lawrence J. Welte, Judith A. Rogosheske, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | $187,380 |
| 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 |
