| 09-03629 | 06/24/2010 | Claimant(s): Lloyd Dotson, Robert Wood
Claimant Lawyers(s): Richard Slavin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi
Arbitrator(s): Denzil J. Klippel, David A. Schwarz, Gerald L. Fingerhut
Hearing Site: New York, NY
| | |
| 09-07045 | 06/24/2010 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): David Stern
Respondent Lawyers(s): David C. Stern
Arbitrator(s): William I. Carmen
Hearing Site: Providence, RI
| | |
| 08-01763 | 06/24/2010 | Claimant(s): The Official Unsecured Creditors's
Claimant Lawyers(s): John G. Rich
Respondent(s): Goldman Sachs Execution & Clearing, L.P., Spear Leeds & Kellogg
Respondent Lawyers(s): Eric A. Bensky
Arbitrator(s): Lucas A. Ferrara, Joseph F. Grassi, Vincent Cannaliato
Hearing Site: New York, NY
|  | $20,580,500 |
| 08-03173 | 06/24/2010 | Claimant(s): Donald E. Miller and Maxine L. Miller
Claimant Lawyers(s): John A. Bender
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Higendorff
Arbitrator(s): William J. Bender, Melvyn Jay Simburg, Fredrick John Bahr
Hearing Site: Seattle, WA
| | $479,880 |
| 09-05093 | 06/24/2010 | Claimant(s): Craig Mastrogiovanni
Claimant Lawyers(s): Douglas S. Knehr
Respondent(s): Clinton Borchardt, Glen Dubrowsky, Scottrade Inc.
Respondent Lawyers(s): Andrew C. Small
Arbitrator(s): Fred S. Pieroni
Hearing Site: Newark, NJ
| | Expungement |
| 09-05483 | 06/24/2010 | Claimant(s): Mary Cowin
Claimant Lawyers(s): Mary Cowin
Respondent(s): Adam Kramer, Benjamin Ricciardi, Mitchell Scher, Nancy Potts, Metlife Securities Inc., Scher Financial Group
Respondent Lawyers(s): Howard E. Panensky
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | $5,213 |
| 09-06614 | 06/24/2010 | Claimant(s): Harbor Press.
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Laurie E. Law
Hearing Site: Seattle, WA
| | $19,168 |
| 09-06630 | 06/24/2010 | Claimant(s): Gerald P. Lenaghan, IRA
Claimant Lawyers(s): Gerald P. Lenaghan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | $10,395 |
| 08-02041 | 06/24/2010 | Claimant(s): Milton Seymour
Claimant Lawyers(s): Mack A. Bethea
Respondent(s): Wachovia Securities, Michael Odom
Respondent Lawyers(s): George C. Freeman
Arbitrator(s): Robert C. Upton, Donald Milo Helton, Douglas E. Miller
Hearing Site: Jackson, MS
| | $375 |
| 09-02400 | 06/24/2010 | Claimant(s): Michael Jacobs, Michael Jacobs Custod. for Julie Jacobs, Michael Jacobs Custodian Jeffery Jacobs, Diane Jacobs Disclaimer Trust
Claimant Lawyers(s): Alan L Frank
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy Bard
Arbitrator(s): Mitchell S. Friedman, Richard Gee, Andrew Shearman Benjamin
Hearing Site: New York, NY
| | $0 |
