| 10-01313 | 08/26/2010 | Claimant(s): Jordan M. and Linda S. Brickman
Claimant Lawyers(s): Jordan M. Brickman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Sean R. Murphy
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
|  | $5,625 |
| 09-04498 | 08/26/2010 | Claimant(s): James Knell, Patricia Knell, The James W. Knell Trust, The Pat Knell Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harper Fertig
Arbitrator(s): Wilbert H. Luck, Jacalyn R. Murray, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | $0 |
| 09-05358 | 08/25/2010 | Claimant(s): Mark Kaufman
Claimant Lawyers(s): Alan J. Foxman
Respondent(s): Vfinance Investments
Respondent Lawyers(s): James K. Barbee
Arbitrator(s): Joseph L. Bernstein, Randi Perry Spallina, Connie J. Becker
Hearing Site: Boca Raton, FL
| | |
| 08-03559 | 08/25/2010 | Claimant(s): Teresita Cintron
Claimant Lawyers(s): Homero Gonzalez-Lopez
Respondent(s): Jeffrey Lopez, Ruben Fernandez, Sonia Marbarak, BBVA Securities of PR.
Respondent Lawyers(s): Ramon Coto-Ojeda
Arbitrator(s): Mark I. Scheinbaum, Armando E. Ramirez Vivoni, Jorge R. Jimenez
Hearing Site: San Juan, PR
| | $271,895 |
| 08-02649 | 08/25/2010 | Claimant(s): Rosenow I Limited Partnership
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Elizabeth Gilbert, Michael Jaffe, Linda B. Meltzer
Hearing Site: New York, NY
| | $0 |
| 09-04839 | 08/25/2010 | Claimant(s): Bernard Markey, Navigator Partners
Claimant Lawyers(s): Bernard B. Markey
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Jason S. Pinney
Arbitrator(s): Bernard M. Levine
Hearing Site: Newark, NJ
| | $750 |
| 09-03237 | 08/24/2010 | Claimant(s): Hilary Shane
Claimant Lawyers(s): Richard M. Asche
Respondent(s): First New York Securities L.L.C.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jacob Aschkenasy, James S. Hazard, Randolph Guggenheimer
Hearing Site: New York, NY
| | |
| 09-06520 | 08/24/2010 | Claimant(s): Wells Fargo Investments, Llc
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Donald Duarte
Respondent Lawyers(s): Donald A. Duarte
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
| | |
| 09-07050 | 08/24/2010 | Claimant(s): Yvonne Bass
Claimant Lawyers(s): Yvonne Harris Bass
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming Wolfe
Arbitrator(s): Michael E. Curan
Hearing Site: New York, NY
| | |
| 10-01090 | 08/24/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Robert Hassell
Respondent Lawyers(s): Robert D. Hassell
Arbitrator(s): Donald W. Cohen
Hearing Site: Indianapolis, IN
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