| 13-03258 | 09/09/2015 | Claimant(s): Arthur Keith Burch and Lea Burch, JTWROS
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina P. Martorana
Arbitrator(s): Gerald L. Fingerhut, John Russell Barlow, David Lawrence Rowe
Hearing Site: Raleigh, NC
|  | Expungement |
| 14-02855 | 04/01/2015 | Claimant(s): Michel Distel and Anne Distel, JTWROS
Claimant Lawyers(s): Caren S. Brutten
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | $0 |
| 10-03551 | 08/07/2012 | Claimant(s): Larry Smith, Larry Smith IRA, Donald G. Smith & Betty J. Smith, JTWROS
Claimant Lawyers(s): Donald G. & Betty J. Smith, Larry R. Smith, Larry Smith
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Amy C. Worrell
Arbitrator(s): Lester Friedman, Ralph H. Martin, Robert Charles Morrison
Hearing Site: Little Rock, AR
| | $28,569 |
| 09-06358 | 11/16/2011 | Claimant(s): Robert and Virginia Russiello, JTWROS, Virginia Russiello Rollover IRA
Claimant Lawyers(s): Mike Amad
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Brian Ken Kawakami, Kenneth Diamond, Lowell D. Johnston
Hearing Site: New York, NY
| | Expungement |
| 05-01877 | 03/25/2011 | Claimant(s): Mary Wheeler, Roger Wheeler & Mary Wheeler, JTWROS
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Scott Weissman
Respondent Lawyers(s): Scott H. Weissman
Arbitrator(s): Sandra L. Malek, Esther A. Spachner, Valerie Lewis
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 09-02757 | 07/09/2010 | Claimant(s): Bradley Burks, Bradley A and Mishelle Burks, JTWROS
Claimant Lawyers(s): Edward S. Koppman
Respondent(s): Brian Sanders, Eric Arlt, Louis Donzelli, Mike Becker, Sean Case, i-TRADEdirect.com Corp, i-TRADEnow.com Corp
Respondent Lawyers(s): Cory S. Zadanosky, David Hirschberg, Eric Arlt, Mike Becker
Arbitrator(s): Ronald G. Johnson, Stephen L. Avard, David A. Schuler
Hearing Site: Dallas, TX
| | $0 |
| 09-02083 | 03/25/2010 | Claimant(s): Cordelia Dellapina, Walter Dellapina, Walter and Cordelia Dellapina, JTWROS
Claimant Lawyers(s): Alan Foxman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Robert A. Sauerberg, Ellen J. Abrams, William G. Geisert
Hearing Site: Boca Raton, FL
| | $0 |
| 08-03849 | 01/06/2010 | Claimant(s): James Dyko and Diane Dyko, JTWROS
Claimant Lawyers(s): John E. Sutherland
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Jack A. Marshall, Nickolas F. Monteforte, Andrea J. Goldman
Hearing Site: Boston, MA
| | $15,000 |
| 07-03560 | 07/30/2009 | Claimant(s): Joseph E. Shamy & Greta R. Shamy, JTWROS
Claimant Lawyers(s): Daniel Shamy
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): John C. Newsom, Harvey Alan Blicksilver, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | $0 |
