| 10-04908 | 05/04/2011 | Claimant(s): Stamford Niou
Claimant Lawyers(s): Susan Poder MacFarlane
Respondent(s): Howard Hardin, Laurie Hardin
Respondent Lawyers(s): Mark J. Krudys
Arbitrator(s): Christopher M. McMurray
Hearing Site: Richmond, VA
| | $0 |
| 09-06207 | 05/04/2011 | Claimant(s): Mary E. Wright Trust
Claimant Lawyers(s): Paul J. Sussman
Respondent(s): Credit Suisse First Boston LLC
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): William M. Koziol, Michael R. Sherwin, Loren H. Newman
Hearing Site: Chicago, IL
|  | $0 |
| 10-02585 | 05/04/2011 | Claimant(s): Gerald Patera
Claimant Lawyers(s): J. Anthony Penry
Respondent(s): Seaboard Securities.
Respondent Lawyers(s): Anthony J. Digiovanni
Arbitrator(s): Roy J. Baroff, Harold G. Koger, Karen J. Montgomery
Hearing Site: Raleigh, NC
| | $120,300 |
| 10-03091 | 05/04/2011 | Claimant(s): Dalton Investments LLC
Claimant Lawyers(s): Jeffrey Wittenberg
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Renee M. Zaytsev
Arbitrator(s): Thomas E. Shuck, Robert J. Ruben, George Frederick Garris
Hearing Site: Los Angeles, CA
| | $250,000 |
| 10-01683 | 05/04/2011 | Claimant(s): Robert Baisa
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Juli Aylesworth
Arbitrator(s): Susan C. Lushing, John Daly, Robert I. Adler
Hearing Site: New York, NY
| | $0 |
| 08-03500 | 05/03/2011 | Claimant(s): Joseph Bardzilowski
Claimant Lawyers(s): Thomas H. Chiacchio
Respondent(s): Wachovia Securities, Francis Buckley, Harry Sze, Lawrence Parsons
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Cynthia H. Plishtin, John R. Buehler, Alan Shaw
Hearing Site: Newark, NJ
| | $0 |
| 09-04403 | 05/03/2011 | Claimant(s): Eric Hudson
Claimant Lawyers(s): William J. Kupinse
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph E. Gehring
Arbitrator(s): Donald J. Zoeller, Daniel A. Dolan, John Caracciolo
Hearing Site: New York, NY
| | $0 |
| 09-06874 | 05/03/2011 | Claimant(s): Sakurako Sugihara
Claimant Lawyers(s): Romaine Gardner
Respondent(s): Machiko Okamoto
Respondent Lawyers(s): Steven Martin
Arbitrator(s): Anthony Michael Sabino
Hearing Site: New York, NY
| | $8,000 |
| 10-01198 | 05/03/2011 | Claimant(s): Steven Wdowka, Steven E. Wdowka, IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anne N. DePrez
Arbitrator(s): George W. Harding, Gary P. Price, Raymond M. Kirtley
Hearing Site: Indianapolis, IN
| | $2,512,200 |
| 10-02881 | 05/03/2011 | Claimant(s): Steven Minar
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Daniel B. MacLeod, Joseph W. Cheek, James E. Bartels
Hearing Site: Portland, OR
| | $0 |
