| 09-06140 | 07/14/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Chad Gottlieb
Respondent(s): Janice Koch
Respondent Lawyers(s): Janice C. Koch
Arbitrator(s): Robert Charkovsky
Hearing Site: Baltimore, MD
|  | $0 |
| 07-03620 | 07/14/2010 | Claimant(s): Ann Niebauer
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Frank Bluestein
Respondent Lawyers(s): David M. Foster
Arbitrator(s): Stuart M. Egrin, William P. Thorpe, Veronique M. Liem
Hearing Site: Detroit, MI
| | $101,679 |
| 09-04361 | 07/14/2010 | Claimant(s): Arthur Ruiz Jr. and Patty Ruiz
Claimant Lawyers(s): Arthur Ruiz
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Leonard E. Benade
Hearing Site: New Orleans, LA
| | $150 |
| 08-04163 | 07/13/2010 | Claimant(s): Sandra Kobel
Claimant Lawyers(s): Robert Ruotolo
Respondent(s): Cessford Prentice, 1st Global Advisors., 1st Global Capital Corp., 1st Global Insurance Services., 1st Global Retirement Services., 1st Global.
Respondent Lawyers(s): William N. Radford
Arbitrator(s): Daniel A. Kile, Martha Z. Ralstin, Charles Lynn Schmidt
Hearing Site: Dallas, TX
| | |
| 09-05512 | 07/13/2010 | Claimant(s): Edgar Baker, Louise Baker
Claimant Lawyers(s): John B. Dempsey
Respondent(s): LPL Financial LLC, Mark Renzini, Virginia Traver, Comm Financial Services, Community Bank & Trust
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Elizabeth A. McKinney, E. William Pastor, Paul J. Greco
Hearing Site: Philadelphia, PA
| | |
| 09-06571 | 07/13/2010 | Claimant(s): Edwin Lundgren
Claimant Lawyers(s): E. Brent Lundgren
Respondent(s): William Park
Respondent Lawyers(s): William Brown Park
Arbitrator(s): James A. Lundberg
Hearing Site: Bismarck, ND
| | |
| 10-00141 | 07/13/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): George Hovany
Respondent Lawyers(s): George Edward Hovany
Arbitrator(s): William M. Koziol
Hearing Site: Chicago, IL
| | |
| 09-02459 | 07/13/2010 | Claimant(s): Thomas Maher
Claimant Lawyers(s): Irwin G. Stein
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): George R. Milne, Paul R. Meyer, Bert P. Krages
Hearing Site: Portland, OR
| | $593,336 |
| 07-00126 | 07/12/2010 | Claimant(s): Barry Goldenberg
Claimant Lawyers(s): Alisa L. Silverstein
Respondent(s): Richard McVey, MarketAxess Corporation
Respondent Lawyers(s): David A. Picon
Arbitrator(s): Robert A. Vaccaro, Michael Peter Yahr, Edward Peter Ryan
Hearing Site: New York, NY
| | |
| 09-01495 | 07/12/2010 | Claimant(s): Frank Grossman
Claimant Lawyers(s): Nicholas P. Iavorone
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Frederic M. Rizzo, Jerome Stern, Jeffrey S. Fannon
Hearing Site: Chicago, IL
| | |
