| 08-03496 | 09/23/2010 | Claimant(s): Vikram Rai and Swapni Rai
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Alan Schwartz, J.P. Morgan Securities
Respondent Lawyers(s): Andrew Muscato, Neil A. Riemann
Arbitrator(s): Charles L. Prothero
Hearing Site: Newark, NJ
|  | $213 |
| 09-04116 | 07/09/2010 | Claimant(s): Michael Hannon, The Michael Hannon Rev. Trust dtd 5/5/93
Claimant Lawyers(s): Andrew Park
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Stephanie P. Karn
Arbitrator(s): Carol A. Schuyler, Carl F. Bowmer, Robert L. Hinson
Hearing Site: Richmond, VA
| | $2,032,470 |
| 07-00695 | 06/29/2010 | Claimant(s): Dan Breslauer
Claimant Lawyers(s): Tally M. Wiener
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): James J. Fishman, Hugh N. Fryer, Alice Holly Oshins
Hearing Site: New York, NY
| | |
| 09-01532 | 05/03/2010 | Claimant(s): J.P. Morgan Securities, JP Morgan Chase and Company
Claimant Lawyers(s): Murphy J. Foster
Respondent(s): Wachovia Securities, James Poche, Kevin Knobloch, Shaun Burns
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): C. Ellis Henican, David J. Schexnaydre, Richard J. Clement
Hearing Site: New Orleans, LA
| | |
| 09-05207 | 03/22/2010 | Claimant(s): Clarice Ujhelyi, Julius Ujhelyi, Clarice E. Ujhelyi Living Trust, Julius Ujhelyi Living Trust
Claimant Lawyers(s): Julius C. Ujhelyi
Respondent(s): TD Ameritrade., J.P. Morgan Securities, Manuel Gonzalez
Respondent Lawyers(s): Catherine Luth, Manuel Gonzalez, Matthew E. Wolper
Arbitrator(s): Patricia Gunn
Hearing Site: Orlando, FL
| | $0 |
| 07-03561 | 12/23/2009 | Claimant(s): Racetrac Petroleum.
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): J.P. Morgan Clearing Corp., J.P. Morgan Securities, Bear Stearns Asset Management.
Respondent Lawyers(s): Gabrielle Gould
Arbitrator(s): Anne H. Orr, Jerome Jack Shure, Kenneth Alexander Campbell
Hearing Site: Atlanta, GA
| | $3,431,890 |
| 09-00796 | 12/21/2009 | Claimant(s): Estate of Peter W. Roslund
Claimant Lawyers(s): David C. Berman
Respondent(s): J.P. Morgan Securities, Stephen Gabriel
Respondent Lawyers(s): Eugene L. Small, Ronald P. Kane
Arbitrator(s): Leonard E. Benade, W. Wells Van Pelt, John R. Morris
Hearing Site: Charlotte, NC
| | Stipulated Award and Expungement |
| 08-00892 | 06/09/2009 | Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Devin Anthony Donohue
Respondent(s): Vivine Wang
Respondent Lawyers(s): William A. Stahr
Arbitrator(s): Larry Edmonson, Ronald E. Ogden, Otis E. Hackett
Hearing Site: Los Angeles, CA
| | |
| 07-02662 | 05/29/2009 | Claimant(s): Murphy & Durieu
Claimant Lawyers(s): James M. Moriarty
Respondent(s): Cindy Dodeles, David Dodeles, J.P. Morgan Securities, Louis Cesario, RBC Capital Markets Corporation, Hamershlag, Dodeles & Co., Penson Financial Services.
Respondent Lawyers(s): Cindy Dodeles, David S. Richan, Gene L. Small, Ivan Dodeles, Joseph F. Keenan, Louis Cesario
Arbitrator(s): David S. Billet, Robert Pincus, Anthony J. Raimondi
Hearing Site: New York, NY
| | |
| 04-00980 | 02/26/2009 | Claimant(s): Allen Paulson Living Trust
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Lester G. Stiel, Robert W. Vernon, Lisa M. Roth
Hearing Site: San Diego, CA
| | $800,000 |
