| 09-03593 | 03/21/2011 | Claimant(s): Roman Bardens
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Ft. Lauderdale, FL
|  | $10,000 |
| 09-06621 | 03/21/2011 | Claimant(s): Calvin Samuels
Claimant Lawyers(s): Maria S. Wilson
Respondent(s): LPL Financial LLC, Harvey Berk
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Robert M. Goldstein
Hearing Site: New York, NY
| | $0 |
| 10-00351 | 03/21/2011 | Claimant(s): John Coker
Claimant Lawyers(s): Allen L. Williamson
Respondent(s): Itradedirect.com Corp
Respondent Lawyers(s): Eric Arlt
Arbitrator(s): Thomas M. Campbell, Frances Johnson Wright, Russell H Hairston
Hearing Site: Dallas, TX
| | $446,376 |
| 10-02023 | 03/21/2011 | Claimant(s): Tatsuko Wein
Claimant Lawyers(s): Thomas L. Gourde
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Erik R. Siering, Gerald C. Tambe, Chuba B. Abaelu
Hearing Site: Los Angeles, CA
| | $60,024 |
| 09-02494 | 03/21/2011 | Claimant(s): Helen Cohen Living Trust, Trust A, Trust B
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): James Trujillo, Secu Brokerage Services
Respondent Lawyers(s): Michael L. Weisel, Scott L. Metzger
Arbitrator(s): James H. Bowersox, Sally G. Williams, Dennis Michael Kelleher
Hearing Site: San Diego, CA
| | $0 |
| 09-04560 | 03/21/2011 | Claimant(s): Daniel Gorman
Claimant Lawyers(s): John G. Rich
Respondent(s): J.P. Morgan Securities, Bear, Stearns & Co..
Respondent Lawyers(s): Timothy E. Di Domenico
Arbitrator(s): Monica I. Salis, Frederick P. Hartman, Les R. Campbell
Hearing Site: Boca Raton, FL
| | $0 |
| 09-05641 | 03/18/2011 | Claimant(s): Andrew Michalak
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Salvatore Capizzi, Sewell Frey, American Investors Company, Dunham & Associates Investment Counsel, Dunham Trust Company
Respondent Lawyers(s): Joseph D. Edmondson, Stephen B. Stern, Theodore C. Peters
Arbitrator(s): Richard A Compisi, Gordon M. Wase, Brenda J. Stovall
Hearing Site: Baltimore, MD
| | $2,702,800 |
| 09-05805 | 03/18/2011 | Claimant(s): Barbara Golds, Jack Golds IRA, Jack Golds, Roth IRA
Claimant Lawyers(s): David M. Foster
Respondent(s): LPL Financial LLC, David Steckler, Legent Clearing, Linsco/Private Ledger Corp
Respondent Lawyers(s): Christopher H. Tovar, David H. Jarvis, James E. Roach
Arbitrator(s): Larry C. Kreul, Jacqueline R. Fox, Michael George Kelly
Hearing Site: Detroit, MI
| | $175,000 |
| 09-06330 | 03/18/2011 | Claimant(s): Kritz Family LLC
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn J. Bushby
Arbitrator(s): Susan L. Walker, Mark P. Filwett, Richard J. DeWitt
Hearing Site: New Orleans, LA
| | $0 |
| 09-04307 | 03/17/2011 | Claimant(s): Michael Brennan
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Philip M. Mandel, David S. Billet, Irene C. Warshauer
Hearing Site: New York, NY
| | $0 |
