| 10-03809 | 05/03/2011 | Claimant(s): Richard Brownstein
Claimant Lawyers(s): Richard J. Brownstein
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Jill Y. Coen
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
|  | $9,357 |
| 09-01469 | 05/03/2011 | Claimant(s): Dwight Manley
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Walter S. Weiss, Frederick N. Bailard, Paul H. White
Hearing Site: Los Angeles, CA
| | $0 |
| 09-02484 | 05/03/2011 | Claimant(s): Joseph Oliveira
Claimant Lawyers(s): Joseph Oliveira
Respondent(s): James Cabral, Nathan Terrazas, Nikolaos Plakakis, Paula Allen, World Group Securities.
Respondent Lawyers(s): Edward F. Donohue, Jason J. Kim
Arbitrator(s): Laurel Littman Gothelf, Julie D. Soo, Terri Coster Boesch
Hearing Site: San Francisco, CA
| | $0 |
| 10-04436 | 05/03/2011 | Claimant(s): Michael McCarthy
Claimant Lawyers(s): Michael J. McCarthy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): James A. Sigler
Hearing Site: Los Angeles, CA
| | $0 |
| 09-06450 | 05/02/2011 | Claimant(s): Joseph Lobaito
Claimant Lawyers(s): Joseph Alfred Lobaito
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Heidi L. Swartz
Arbitrator(s): Martin Jay Siegel, Annamaria Boccia Smith
Hearing Site: New York, NY
| | $0 |
| 09-06883 | 05/02/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Daniel Carmo
Respondent Lawyers(s): Sean M. Sullivan
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04312 | 05/02/2011 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Louis D. Tambaro
Respondent(s): Keith Golden
Respondent Lawyers(s): Keith Alan Golden
Arbitrator(s): Richard Charles Hotvedt
Hearing Site: Boca Raton, FL
| | $0 |
| 10-05012 | 05/02/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Teddy Ezzell
Respondent Lawyers(s): Teddy R Ezzell
Arbitrator(s): Dennis R. Frohlich
Hearing Site: Denver, CO
| | $0 |
| 09-04018 | 05/02/2011 | Claimant(s): Wayne Wolberg
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Jeffry Eisnaugle, 1st Financial Services
Respondent Lawyers(s): David A. Zisser
Arbitrator(s): Cletus E. Byrne, Ronald G. Guida, Michael A. Ruderman
Hearing Site: Denver, CO
| | $45,000 |
| 09-06565 | 05/02/2011 | Claimant(s): Nicholas Palumbo
Claimant Lawyers(s): Nicholas Palumbo
Respondent(s): E*Trade Securities LLC, E*Trade Clearing LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Gordon M. Wase, James T. McLaughlin, John E. Felch
Hearing Site: Philadelphia, PA
| | $0 |
