| 09-03993 | 10/01/2010 | Claimant(s): David Sherman, David A.Sherman Liv Tr,
Claimant Lawyers(s): Harvey J. Barnett
Respondent(s): Sanford C. Bernstein & Co., Llc
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Stephen C. Esposito, Herbert S. Channick, David M. Fetter
Hearing Site: Chicago, IL
|  | $600 |
| 09-00492 | 09/30/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Avelino Cortina
Respondent Lawyers(s): Dana Robinson
Arbitrator(s): Fred T. Kallet, James D. Knotter, Katherine Jane Morris
Hearing Site: San Diego, CA
| | |
| 09-01731 | 09/30/2010 | Claimant(s): James Wikert
Claimant Lawyers(s): C. Bruce Willis
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
| | |
| 09-02028 | 09/30/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Thomas Bridge
Respondent Lawyers(s): Thomas C. Bridge
Arbitrator(s): Mark C. Perry, Walter B. Bancroft, James W. Geiger
Hearing Site: Boca Raton, FL
| | |
| 10-00702 | 09/30/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Michael Forbes
Respondent Lawyers(s): Brent V. Manning
Arbitrator(s): Robert S. McConnell, Dennis Dowd, George H. Speciale
Hearing Site: Salt Lake City, UT
| | |
| 10-01236 | 09/30/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Thomas Vertin
Respondent Lawyers(s): Thomas Brian Vertin
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 08-01918 | 09/30/2010 | Claimant(s): Thomas Collins
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Richard W. Thornburg, Harvey Alan Blicksilver, John M. Richey
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
| 09-02318 | 09/30/2010 | Claimant(s): Joyce Yabkow
Claimant Lawyers(s): Michael B. Specht
Respondent(s): Citigroup Global Markets., William Burns
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Robert Manfredo, Evonne W.J. Tolbert, Martin H. Zern
Hearing Site: New York, NY
| | Expungement |
| 09-04885 | 09/30/2010 | Claimant(s): Robert Finkelstein
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $30,000 |
| 09-05858 | 09/30/2010 | Claimant(s): Susan Hamovitch
Claimant Lawyers(s): Susan Hamovitch
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Peter Inserra
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | $0 |
