| 10-01366 | 12/10/2010 | Claimant(s): Ulrich Holeschovsky
Claimant Lawyers(s): Robert W. Goehring
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Thomas R. Skulina
Hearing Site: Pittsburgh, PA
|  | $21,809 |
| 09-06454 | 12/10/2010 | Claimant(s): Grand Circle LLC
Claimant Lawyers(s): Thomas J. Butters
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Michael T. McCormack
Arbitrator(s): Nancy E. Watters, Evalyn Lipton Fishbein, Maxwell J. Mahoney
Hearing Site: Boston, MA
| | $0 |
| 10-02346 | 12/09/2010 | Claimant(s): Trident Partners Ltd.
Claimant Lawyers(s): William Quigley
Respondent(s): Brian Martinsen
Respondent Lawyers(s): Brian Keith Martinsen
Arbitrator(s): Evonne W.J. Tolbert
Hearing Site: New York, NY
| | |
| 10-02506 | 12/09/2010 | Claimant(s): Poppie Phillips, Roth IRA
Claimant Lawyers(s): Michael Clutter
Respondent(s): Chase Investment Services Corp., Joseph Liddell
Respondent Lawyers(s): Edward J. McNamara
Arbitrator(s): Robert N. Leitch
Hearing Site: Atlanta, GA
| | $14,171 |
| 10-02289 | 12/09/2010 | Claimant(s): Deborah Moller
Claimant Lawyers(s): Deborah A Moller
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Neil P. Murphy
Arbitrator(s): Lewis J. Levey
Hearing Site: Miami, FL
| | $0 |
| 10-02889 | 12/09/2010 | Claimant(s): Juliet Baruch
Claimant Lawyers(s): Anne Ho
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth E. Moum
Arbitrator(s): Lise Gabrielle Hunter
Hearing Site: New York, NY
| | $0 |
| 10-02038 | 12/08/2010 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Christopher G. Massey
Respondent(s): Ryan Aldridge
Respondent Lawyers(s): Ryan William Aldridge
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | |
| 08-02047 | 12/08/2010 | Claimant(s): Richard Ng, Hasong J. and Jin Yung Pak
Claimant Lawyers(s): Justine Fischer
Respondent(s): Jung Kim aka Jay Kim, GlobalVest Group. n/k/a GLB Trading, Vision Securities Inc.
Respondent Lawyers(s): Ivan Luburic, Jung Han Kim, Lori S. Varaich
Arbitrator(s): Gregory L. Abbott, William J. Chambers, Larry T. Coady
Hearing Site: Portland, OR
| | $565,092 |
| 09-04485 | 12/08/2010 | Claimant(s): Beverly Ginn, Russell Ginn, CVWT, LLP, Ginnwey Investments
Claimant Lawyers(s): Timothy M. McDaniel
Respondent(s): Alliance Bernstein, Bernstein Global Wealth Management, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Raymond C. Kerr, Joshua D. Wallach, Deirdre Renee Fuller
Hearing Site: Houston, TX
| | $200,000 |
| 10-00267 | 12/08/2010 | Claimant(s): Gary Maag
Claimant Lawyers(s): Irwin Stein
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co.., Randall Merk
Respondent Lawyers(s): Michael T. West
Arbitrator(s): David W. Dresnick
Hearing Site: Los Angeles, CA
| | Expungement |
