| 08-03262 | 11/12/2009 | Claimant(s): Jose Orlando Aguirre, Williams Baina Antezana
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Hector Gallardo
Respondent Lawyers(s): Hector J. Gallardo
Arbitrator(s): Bernard Hornick, Gail E. Sasnett-Stauffer, James P. Ryan
Hearing Site: Orlando, FL
|  | $876,774 |
| 08-03846 | 11/06/2009 | Claimant(s): Martha Laura Howse
Claimant Lawyers(s): Martha Howse
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Constance d'Angelis, A. Michelle Jernigan, Julie Behr Zimmerman
Hearing Site: Orlando, FL
| | $225 |
| 09-01982 | 10/20/2009 | Claimant(s): Priscila Martins
Claimant Lawyers(s): Priscila Martins
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Guy K. Stewart
Hearing Site: Orlando, FL
| | $2,488 |
| 08-01298 | 10/02/2009 | Claimant(s): Helen DeCarlo
Claimant Lawyers(s): Mark S. Guralnick
Respondent(s): Ameriprise Financial Services., Mark Marshall, Tom Romanac
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Christopher M. Shulman, Paul A. Holmes, Alan E. Linden
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
| 08-02448 | 09/23/2009 | Claimant(s): Ava Doppelt, Carl Napolitano, Herbert Allen, Michael Taylor, Richard Warther, Sandra Kemraj, Stephen Milbrath, 401k PSP & Trust for Employees
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Stan West, Irwin Baron, Mitchel Weiss
Hearing Site: Orlando, FL
| | $0 |
| 08-04465 | 09/21/2009 | Claimant(s): Ruth Grafton
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Joe Carrino, Matthew Waddell, Troy Goldberg
Respondent Lawyers(s): David A. Rolling, Matthew Waddell
Arbitrator(s): Simone Sicola, Robert N. Duggan, Christopher Mark Aiello
Hearing Site: Orlando, FL
| | $11,500 |
| 08-04906 | 07/21/2009 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Laurence K. Richmond
Respondent(s): David Griswold
Respondent Lawyers(s): David Griswold
Arbitrator(s): Ronald W. Devoe
Hearing Site: Orlando, FL
| | |
| 08-03675 | 07/15/2009 | Claimant(s): Robert Buchanan
Claimant Lawyers(s): R. Scott Buchanan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paula M. McManus
Arbitrator(s): Gail E. Sasnett-Stauffer
Hearing Site: Orlando, FL
| | $0 |
| 08-04300 | 06/19/2009 | Claimant(s): Curtis Stewart
Claimant Lawyers(s): John N.C. Ledbertter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Maurice M. Feller
Hearing Site: Orlando, FL
| | $0 |
| 08-03655 | 06/04/2009 | Claimant(s): Richard and Margaret Wassel
Claimant Lawyers(s): Randall C. Place
Respondent(s): Morgan Stanley & Co., Mary Meeker
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Raphael M. Kelly, Robert Finder, Floyd Edward Roberts
Hearing Site: Orlando, FL
| | $0 |
