| 09-02722 | 11/11/2010 | Claimant(s): Scott Sherwood
Claimant Lawyers(s): Jerome A. Pivnik
Respondent(s): Investacorp., Ladenburg Thalmann Financial Svcs.
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Arthur J. Leibell, Linda M. Granata, James Conrad Sankpill
Hearing Site: Miami, FL
| | |
| 09-06224 | 11/11/2010 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Mark Roth
Respondent(s): Derek Lopez
Respondent Lawyers(s): Derek Lopez
Arbitrator(s): Michael R. Mitchell
Hearing Site: Los Angeles, CA
| | |
| 09-01817 | 11/11/2010 | Claimant(s): Karl Cross
Claimant Lawyers(s): Christopher M. David
Respondent(s): E*Trade Securities LLC, Robert Russini
Respondent Lawyers(s): Jonathan B. Butler
Arbitrator(s): Herbert Branitsky, Robert J. Buchner, Les R. Campbell
Hearing Site: Ft. Lauderdale, FL
|  | Expungement |
| 09-02259 | 11/11/2010 | Claimant(s): Stan Rosen, Eastlake Business Park Associates, H&A Investment Irrevocable Environment S, Kirkland Commerce Center Associates, Lesmir Inc. dba Rosen Properties and Ros, Lynnwood East Business Park Associates,, Marymoor Warehouse Associates, Mayers MGI Building Holding, North Creek Enterprises, RH Lynnwood Corporate Center Associates,, RH Sixth Avenue Plaza Associates, Rosen Bel Kirk Associates, Rosen De Jonge Properties, Stevens Health Center Associates, Woodinville Warehouse Associates, Michele Rosen, RH Tacoma Place, Everett Plaza Shopping Center, Evergreen Way Association
Claimant Lawyers(s): Aron K Liang
Respondent(s): Wedbush Securities Inc., Richard Graham
Respondent Lawyers(s): John W. Stenson
Arbitrator(s): Frederic E. Dorkin, Julie Eileen Gay, Charles Scott McClellan
Hearing Site: Seattle, WA
| | Auction Rate Securities related |
| 09-06332 | 11/11/2010 | Claimant(s): Glenn Corliss
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Jayme L. Butcher
Arbitrator(s): Paul H. McKenna, Donald J. Gilbert, Cory Owen Daschbach
Hearing Site: Pittsburgh, PA
| | $56,865 |
| 09-06739 | 11/11/2010 | Claimant(s): Charles Boone
Claimant Lawyers(s): Charles Boone
Respondent(s): Harvey Cook, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Earle J. Schwarz
Hearing Site: Memphis, TN
| | $2,018 |
| 10-01990 | 11/11/2010 | Claimant(s): James E. Rice and Trudy C. Rice
Claimant Lawyers(s): James E Rice
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Thomas W. Steed
Hearing Site: Columbia, SC
| | $6,655 |
| 09-04893 | 11/11/2010 | Claimant(s): Marc Curtis
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Thomas Bartholomew, Commonwealth Financial Network
Respondent Lawyers(s): Steven L. Manchel
Arbitrator(s): Colette Manoil, Kelly M. Lonergan, Dennis M. Cronin
Hearing Site: Boston, MA
| | $0 |
| 09-05445 | 11/11/2010 | Claimant(s): Patricia Rosati, Raymond Rosati
Claimant Lawyers(s): Raymond T Rosati
Respondent(s): Michael Bowen, HSBC Securities (USA) Inc.
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): David Buch, Vincent Micciche, Christopher C. Willett
Hearing Site: Buffalo, NY
| | $0 |
| 10-01257 | 11/11/2010 | Claimant(s): R. Walters, R. Corey Walters Investments
Claimant Lawyers(s): R. Corey Walters
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Tomas F. Kopshever
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
| | $0 |
