| 09-02201 | 08/13/2010 | Claimant(s): Scott A. Kurstin/CUS Gary Kurstin, Bette Kurstin Declaration of Trust, Gary A. Kurstin Trust, Ryan G. Kurstin Revocable Trust
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): James W. Geiger, Kalman J. Lester, Thomas W. Miller
Hearing Site: Boca Raton, FL
|  | $75,000 |
| 10-00217 | 08/13/2010 | Claimant(s): Carol Halonen, Carol N Halonen, IRA
Claimant Lawyers(s): Carol N. Halonen
Respondent(s): Gerald Gries
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Lavon C. Phillips
Hearing Site: Minneapolis, MN
| | $0 |
| 09-01561 | 08/12/2010 | Claimant(s): James Tekavec
Claimant Lawyers(s): Neil D. Petkovic
Respondent(s): Frank Cunnane
Respondent Lawyers(s): Robert N. Rapp
Arbitrator(s): Frank C. Fogl, Harold Dean Tolbert, Ralph A. Beard
Hearing Site: Cleveland, OH
| | |
| 09-06800 | 08/12/2010 | Claimant(s): Frank Altomaro
Claimant Lawyers(s): Frank Altomaro
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Amy Gare
Arbitrator(s): Daniel Robbins, Steven David Leader, Ralph A. DeSena
Hearing Site: New York, NY
| | |
| 09-06952 | 08/12/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Steven Luna
Respondent Lawyers(s): Steven Luna
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Memphis, TN
| | |
| 10-01113 | 08/12/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Fred Brown
Respondent Lawyers(s): Fred Brown
Arbitrator(s): Marshall S. Galinsky
Hearing Site: Baltimore, MD
| | |
| 08-03976 | 08/12/2010 | Claimant(s): Ila Mellul
Claimant Lawyers(s): Lawrence Rosen
Respondent(s): David Marcus, M Holdings Securities.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Carole M. Crosby, James F. Carlson, Daniel Baruch Lidawer
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 09-00417 | 08/12/2010 | Claimant(s): Lorraine Folin, Scott Folin, The Folin Family Trust
Claimant Lawyers(s): P. David Ingalls
Respondent(s): Ronald Tenison
Respondent Lawyers(s): Ronald D. Tenison
Arbitrator(s): John E. Bates, Justine Fischer, Michael G. Hanlon
Hearing Site: Portland, OR
| | $550,000 |
| 09-00230 | 08/12/2010 | Claimant(s): Hal Mullins
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Bonnie A. Pearce, Stephen Kahane, Robert J. Buchner
Hearing Site: Boca Raton, FL
| | $0 |
| 08-02792 | 08/11/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Deborah Dickstein
Respondent(s): Bruce Gropper, Morton Gropper
Respondent Lawyers(s): Bradford M. Gucciardo
Arbitrator(s): Domitilia M. dos Santos, Antonio Concepcion, John Murray Carroll
Hearing Site: New York, NY
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