| 10-01324 | 07/20/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Elison Elliott
Respondent Lawyers(s): Elison Joseph Elliott
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | |
| 09-03788 | 07/20/2010 | Claimant(s): David Gelerman
Claimant Lawyers(s): David A. Conti
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): William H. McCarter, Howard M. Miller, Pamela E. Berman
Hearing Site: Boston, MA
|  | $232,441 |
| 09-06977 | 07/20/2010 | Claimant(s): Joseph Reddy, Joseph Reddy M.D..
Claimant Lawyers(s): John W. Davis
Respondent(s): William Alexander
Respondent Lawyers(s): William W. Alexander
Arbitrator(s): Stephen R. Clark
Hearing Site: San Diego, CA
| | $1,292,700 |
| 09-07168 | 07/20/2010 | Claimant(s): Cecelia Cook
Claimant Lawyers(s): Cecelia Wilson Cook
Respondent(s): LPL Financial LLC, Randall Dyches
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Donald G. Kennedy
Hearing Site: Columbia, SC
| | $213 |
| 09-07236 | 07/20/2010 | Claimant(s): Ronald Smith, Ronald S Smith A Law Corporation
Claimant Lawyers(s): Ronald S. Smith
Respondent(s): Wachovia Securities Financial Network, Wachovia Securities, Wells Fargo Advisors, Michael Scher
Respondent Lawyers(s): William S. Port
Arbitrator(s): Mary L. Williams
Hearing Site: Los Angeles, CA
| | $38 |
| 09-07246 | 07/20/2010 | Claimant(s): Bijan Hakimpour
Claimant Lawyers(s): Bijan Hakimpour
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Alexander T. Moore
Arbitrator(s): Walter S. Weiss
Hearing Site: Los Angeles, CA
| | $213 |
| 10-00181 | 07/19/2010 | Claimant(s): Hintze Family Revocable Living Trust
Claimant Lawyers(s): Ronald M. Hintze
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Janice L. Burnham
Hearing Site: Norfolk, VA
| | $25,425 |
| 09-03475 | 07/19/2010 | Claimant(s): Greg Merdinger Revocable Trust
Claimant Lawyers(s): Lawrence W. Byrne
Respondent(s): Raymond James Financial Services., Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Richard G Clemens, Daniel R. Formeller, Brenda K. Fournier
Hearing Site: Chicago, IL
| | $0 |
| 07-02811 | 07/16/2010 | Claimant(s): Jozsef Bedocs, Mable Bedocs
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Frank Bluestein
Respondent Lawyers(s): David M. Foster
Arbitrator(s): William P. Thorpe, A. Robert Stevenson, Diane Allard Roegner
Hearing Site: Detroit, MI
| | $587,683 |
| 09-03986 | 07/16/2010 | Claimant(s): Meryl Dell and Steven Dell
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Jenny Rothstein, Charles Schwab & Co..
Respondent Lawyers(s): Michele Fron
Arbitrator(s): Richard Anthony Jannuzzi, Barry David Thorpe, Robert M. Schwedel
Hearing Site: Ft. Lauderdale, FL
| | Stipulated Award and Expungement |
