| 09-05562 | 05/05/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Ellen Sheridan-Cona
Respondent(s): Mitchell Kahn
Respondent Lawyers(s): Lawrence B. Khan
Arbitrator(s): Linda T. Pellegrino, Rick F. Suppa, Simone A. Muscarnera
Hearing Site: Newark, NJ
| | $0 |
| 09-07032 | 05/05/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Suzanne LaTour
Respondent Lawyers(s): Peter J. Attarian
Arbitrator(s): Mandel E. Himelstein, Michael D. Briggs, Alan Joseph Goldstein
Hearing Site: San Diego, CA
| | $0 |
| 10-04768 | 05/05/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Robert Tolstoi
Respondent Lawyers(s): Brian Reis
Arbitrator(s): Stephen L. Lister
Hearing Site: Newark, NJ
| | $0 |
| 09-06774 | 05/05/2011 | Claimant(s): William Brown
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Burke Dambly, Daryl Holzberg, James Walsh, Private Asset Group.
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): Linda B. Kelly, Frances Johnson Wright, James Douglas Haigh
Hearing Site: Dallas, TX
|  | $0 |
| 09-06884 | 05/05/2011 | Claimant(s): Lillian Kazezski, Stanley Kazezski, Kazezski Revocable Trust DTD 9/26/90
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wedbush Securities Inc., Lisa Gallo
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Paul D. Gutierrez, Homer M. Dalbey, James Conrad Riewerts
Hearing Site: San Francisco, CA
| | $750,000 |
| 10-00357 | 05/05/2011 | Claimant(s): Dennis W. Tibbs, IRA, QRP, Patricia A. Tibbs, Dennis W. and Patricia A. Tibbs, Jt Ten
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Brian E. Bro, Martin Samuel Altimore
Hearing Site: Houston, TX
| | $0 |
| 10-01620 | 05/05/2011 | Claimant(s): Donald Eckrod
Claimant Lawyers(s): W. Scott Greco
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Peter B. Vaden, Timothy P. Bogan, Christopher M. McMurray
Hearing Site: Richmond, VA
| | $0 |
| 09-07154 | 05/05/2011 | Claimant(s): Beth Goldman, Jay Boekelheide, Beth M. Goldman IRA Rollover (1), Beth M. Goldman IRA Rollover (2), Jay Boekelheide Film KEOGH, Jay Boekelheide IRA, Goldman-Boekelheide Family Trust U/A 06/
Claimant Lawyers(s): Monika Pleyer Lee
Respondent(s): Phillip Cordano, Stewart Viets, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Emily Woods, Ralph Robinson
Arbitrator(s): Paul F. Faberman
Hearing Site: San Francisco, CA
| | $0 |
| 10-00569 | 05/05/2011 | Claimant(s): Kory Hummer
Claimant Lawyers(s): Joseph E. Gasperetti
Respondent(s): Richard Ganz, H. Beck.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): William C. Boinest, Donald B. Vaden, Janice L. Burnham
Hearing Site: Richmond, VA
| | $0 |
| 10-03172 | 05/05/2011 | Claimant(s): Leonard A. Miller Roth IRA E*Trade Cust.
Claimant Lawyers(s): Leonard A. Miller
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | $76 |
