| 10-05372 | 04/04/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): Robert O'Herlihy
Respondent Lawyers(s): Robert O'Herlihy
Arbitrator(s): Jack Friedman
Hearing Site: Newark, NJ
| | $0 |
| 09-00795 | 04/04/2011 | Claimant(s): Joseph Neira
Claimant Lawyers(s): Gary N. Moss
Respondent(s): Michael Hartzman, Randi Mason, Bristol Financial Services., J.P. Morgan Clearing Corp., Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Steven B. Feigenbaum, Thomas Vays
Arbitrator(s): Judith E. Gross, John Franklin Udochi, Martin A. Edelstein
Hearing Site: New York, NY
|  | $0 |
| 09-06657 | 04/04/2011 | Claimant(s): Leslie Katz
Claimant Lawyers(s): Alex Gardner
Respondent(s): Citigroup Global Markets., Marvin Lerman
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Robert Manfredo, Romaine L. Gardner, Bernard Korman
Hearing Site: New York, NY
| | $0 |
| 10-04069 | 04/04/2011 | Claimant(s): Lety E Linn, David P and Lety E Linn
Claimant Lawyers(s): David Paul Linn
Respondent(s): Chase Investment Services Corp., Tony Wittrock
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Susan M. Thevenet
Hearing Site: Denver, CO
| | $0 |
| 10-01448 | 04/01/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): David Lynn
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): William L. Merkin, Jo-Ann C. Little, Katherine Jane Morris
Hearing Site: San Diego, CA
| | $0 |
| 09-05955 | 04/01/2011 | Claimant(s): Cathy Winston, John Winston
Claimant Lawyers(s): W. Christopher McDonough
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): M. Jane Matoesian
Arbitrator(s): Anthony J. Soukenik, Alan A. Sachs, Richard H. Kuhlman
Hearing Site: St. Louis, MO
| | $0 |
| 09-05068 | 04/01/2011 | Claimant(s): Five Rivers Assets Management
Claimant Lawyers(s): Robert E. Thompson
Respondent(s): Joseph Leschinsky, Interactive Brokers LLC
Respondent Lawyers(s): Jocelyn Barone Partridge, John J. Nielands
Arbitrator(s): Fred L. Simon, Eugene G. P. Byrne, Alan Steven Brodherson
Hearing Site: New York, NY
| | $0 |
| 10-00669 | 04/01/2011 | Claimant(s): Isaac Pardo
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): David Kaminsky, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Robert S. Getman
Hearing Site: New York, NY
| | $0 |
| 10-00366 | 03/31/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Elizabeth E. Moum
Respondent(s): Primo Musumeci
Respondent Lawyers(s): Dogan M. Bengisu
Arbitrator(s): Steven A. Hurst, James W. Geiger, Ellen J. Abrams
Hearing Site: Boca Raton, FL
| | $0 |
| 09-04933 | 03/31/2011 | Claimant(s): Barbara Cook, Barbara Bush Cook Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): John N. Reidy, David B. Lacks, Joan M. Esserman
Hearing Site: St. Louis, MO
| | $42,675 |
