| 09-01730 | 07/22/2010 | Claimant(s): Mary Ann Prekosovich IRA, Mary Ann Prekosovich, Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Theodore L. Leeb
Hearing Site: Chicago, IL
|  | Stipulated Award and Expungement |
| 09-02765 | 07/22/2010 | Claimant(s): Abraham Koch, Cecelia Koch, Trust U/A/D 12/27/90, Cecelia A. Koch Trust U/A/D 12/27/90
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Arthur Weissman, Douglas Kobak, Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Bernard Herman, Peter D. Shelp, Eugene M. Schloss
Hearing Site: Philadelphia, PA
| | Expungement |
| 09-03354 | 07/22/2010 | Claimant(s): Christina Adler-Carhart
Claimant Lawyers(s): Patrick Richmond
Respondent(s): Melanie Sweet, Raymond James Financial Services.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Gary F. Lang, Stuart K. Furman, Pat Anthony Mercurio
Hearing Site: Orlando, FL
| | $99,360 |
| 09-06997 | 07/22/2010 | Claimant(s): Paul L. Mechetti, IRA, Paul L. & Arlene A. Mechetti Fam. Tr.
Claimant Lawyers(s): Paul L. Mechetti
Respondent(s): Jennifer Johnston, Banc of America Investment Services Inc.
Respondent Lawyers(s): Eric Glassman
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | $5,713 |
| 09-02156 | 07/22/2010 | Claimant(s): Jon Dame and Nancy Powlowsky - JTWROS
Claimant Lawyers(s): Sean T. Carnathan
Respondent(s): J Maxwell, Oppenheimer & Co..
Respondent Lawyers(s): Deborah L. Thaxter, Matthew T. McLaughlin
Arbitrator(s): Susan E. Maloney, Andrew Wayne Wunsch, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
| 10-00034 | 07/22/2010 | Claimant(s): Stephen L. Halpern Profit Sharing Plan
Claimant Lawyers(s): Stephen L Halpern
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): W. Alex King
Hearing Site: Los Angeles, CA
| | $0 |
| 08-01356 | 07/21/2010 | Claimant(s): Dorene Dorn
Claimant Lawyers(s): Dorene K. Dorn
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): John Richard Lynch, Kenneth Dymond, Brian F. Mumford
Hearing Site: Albany, NY
| | |
| 09-07249 | 07/21/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John D. Miller
Respondent(s): Robert Szigeti
Respondent Lawyers(s): Robert Joseph Szigeti
Arbitrator(s): Walter M. Schackman
Hearing Site: Philadelphia, PA
| | |
| 09-02855 | 07/21/2010 | Claimant(s): John Lozes, Nader Nakib, Timothy Sturge
Claimant Lawyers(s): Diane A. Nygaard
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Lonnie L. Simpson
Arbitrator(s): Mark S. Foster, Joseph D. Sheppard, Michael J. Hunter
Hearing Site: Kansas City, MO
| | $395,000 |
| 09-03246 | 07/20/2010 | Claimant(s): NRP Advisors. Inc., NRP Financial., National Retirement Partners.
Claimant Lawyers(s): John C. Holmes
Respondent(s): Jeffrey Bafs, Wade Walker, Walker Bafs Retirement Group.
Respondent Lawyers(s): Scott C. Matasar
Arbitrator(s): Sharon R. Merriman, Lawrence W. Arness, John W. Guy
Hearing Site: Indianapolis, IN
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