| 09-00759 | 01/06/2011 | Claimant(s): Rhonda Waksman
Claimant Lawyers(s): Richard W. Kelly
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Jayme L. Butcher
Arbitrator(s): Kathleen K. Murphy, Michael D. McDowell, Elena M. Colianni
Hearing Site: Pittsburgh, PA
|  | $40,323 |
| 09-05897 | 01/06/2011 | Claimant(s): Mary Calzat, Mary D. Calzat IRA, The Calzat Family Trust, DTD 11/25/98
Claimant Lawyers(s): David S. Harrison
Respondent(s): Gregory Bolton, Stephen Wild, Thomas Zielinski, QA3 Financial Corp.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Douglas Edwards, Katherine M. Harmeyer, Merrill Dean Taylor
Hearing Site: Las Vegas, NV
| | Expungement |
| 09-00348 | 01/05/2011 | Claimant(s): Christine Valenti, Robert Valenti
Claimant Lawyers(s): George Brunelle
Respondent(s): Patrick Alfano, Thomas Garriton, Tag Securities Corp.
Respondent Lawyers(s): George Brunelle, Patrick Alfano
Arbitrator(s):
Hearing Site: New York, NY
| | |
| 09-01313 | 01/05/2011 | Claimant(s): Christine Valenti, Robert Valenti, Thomas Garriton
Claimant Lawyers(s): George Brunelle
Respondent(s): Patrick Alfano, TAG Securities Corp.
Respondent Lawyers(s): Patrick M. Alfano
Arbitrator(s): Leona Beane, John J. Vesey, Dominick T. Scianandre
Hearing Site: New York, NY
| | |
| 09-02988 | 01/05/2011 | Claimant(s): Ronee Mills
Claimant Lawyers(s): Michael P. Heringer
Respondent(s): Scottrade.
Respondent Lawyers(s): Narcisa Symank
Arbitrator(s): Gary F. Purpura, Katherine H. O'Neil, William H. King
Hearing Site: Helena, MT
| | |
| 03-02421 | 01/04/2011 | Claimant(s): Oppenheimer & Co.
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): George M. Garvey
Arbitrator(s): Ronald L. Cameron, Mark S. Priver, Ronald E. Ogden
Hearing Site: Los Angeles, CA
| | |
| 10-03036 | 01/04/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jim Van Dyke
Respondent(s): Michael Miller
Respondent Lawyers(s): J. Benjamin Dick
Arbitrator(s): Nelson I. Fishman
Hearing Site: Richmond, VA
| | |
| 09-04773 | 01/04/2011 | Claimant(s): Rhoda Seidler Revocable Trust
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Elizabeth H Lindh
Arbitrator(s): Melvin S. Feldman, Richard William DeWeese, Willard H. Altman
Hearing Site: Los Angeles, CA
| | $208,000 |
| 09-05541 | 01/04/2011 | Claimant(s): Dawn Coulson, Steckbauer Weinhart Jaffe, LLP 401 (K)
Claimant Lawyers(s): Jeffrey A. Cohen, William W. Steckbauer
Respondent(s): Karen Rosen, The Rosen Group
Respondent Lawyers(s): Karen Lyn Rosen
Arbitrator(s): Mary L. Williams
Hearing Site: Los Angeles, CA
| | $9,454 |
| 10-01471 | 01/04/2011 | Claimant(s): Jane Klotz
Claimant Lawyers(s): Nathan P. Pereira
Respondent(s): Michael Dawson, Mikiel Debary, Marquette De Bary Co.., Monarch Financial Corporation
Respondent Lawyers(s): Charles M. O'Rourke, Marquette de Bary, Michael F. Dawson, Mikiel de Bary
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
