| 09-03513 | 06/18/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Jason Cooney
Respondent Lawyers(s): Jason Cooney
Arbitrator(s): James R. Augustine, John Michael Watson, Nathan Levy
Hearing Site: Houston, TX
| | |
| 10-01071 | 06/18/2010 | Claimant(s): Diana Ricketti
Claimant Lawyers(s): Sheree Donath
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Mary Costa
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
| | |
| 07-03428 | 06/18/2010 | Claimant(s): Juan Sanchez, Luz Sanchez, Norlly Andrea, Ruth Velasquez
Claimant Lawyers(s): William Paul Nolan
Respondent(s): George Malagon, Joseph Lanaro, Kyle Rowe
Respondent Lawyers(s): George Honorato Malagon, Joseph Nicholas Lanaro, Kyle Browning Rowe
Arbitrator(s): Kenneth M. Felder
Hearing Site: New York, NY
|  | $117,574 |
| 09-00560 | 06/18/2010 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Brad Sweatland, UBS Financial Services Inc.
Respondent Lawyers(s): Brad Sweatland, Wm. Joseph Baker
Arbitrator(s): Thomas C. Wagner, Emily J. Lewis, Wiley H. Clodfelder
Hearing Site: Columbus, OH
| | Settlement |
| 09-01685 | 06/18/2010 | Claimant(s): Kenneth S. L. Ching and Anita N. Ching
Claimant Lawyers(s): Margery S. Bronster
Respondent(s): Gregory Kwan, Charles Schwab & Co..
Respondent Lawyers(s): Michele Fron
Arbitrator(s): James R. Dickson, Laura Effel, Walter H. Ikeda
Hearing Site: Honolulu, HI
| | Expungement |
| 08-03300 | 06/18/2010 | Claimant(s): Richard Jedwab and Marilyn Jedwab
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): Fred L. Simon, Ellyn S. Roth, Jeffrey P. Halperin
Hearing Site: New York, NY
| | $0 |
| 09-00812 | 06/18/2010 | Claimant(s): Ayida Mohamed and Ibrahim Alwareeth
Claimant Lawyers(s): Ibrahim A Alwareeth
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Sterling N. Frost, John B. Weingart, Nancy A. Yonge
Hearing Site: San Francisco, CA
| | $0 |
| 09-06550 | 06/18/2010 | Claimant(s): Yin Qu
Claimant Lawyers(s): Yin Qu
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): Peter M Brabbee
Hearing Site: San Francisco, CA
| | $38 |
| 09-03477 | 06/17/2010 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Martin S. Chester
Respondent(s): Michael Dagnan
Respondent Lawyers(s): Michael Asher Dagnan
Arbitrator(s): Ronald G. Johnson
Hearing Site: Dallas, TX
| | |
| 09-05423 | 06/17/2010 | Claimant(s): James Kane and Agnes Kane
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Aura Financial Services.
Respondent Lawyers(s): John Woodruff
Arbitrator(s): Ann Pinciss Berman
Hearing Site: New York, NY
| | $25,000 |
