| 09-04293 | 04/30/2010 | Claimant(s): Sandra Boardman
Claimant Lawyers(s): William M. Bowen
Respondent(s): Bertin Stuckart, David Ruckno, UBS Financial Services Inc.
Respondent Lawyers(s): Joseph C. Coates, III
Arbitrator(s): Zeb E. Barnhardt, Charles L. Measter, Emmet Francis Martin
Hearing Site: Columbia, SC
|  | $0 |
| 08-03839 | 04/30/2010 | Claimant(s): Tavalyn Crim
Claimant Lawyers(s): Gregory L. Powell
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Katherine H. O'Neil, Michael G. Hanlon, Lawrence Edward Kelly
Hearing Site: Portland, OR
| | Expungement |
| 08-04967 | 04/30/2010 | Claimant(s): Henri Blain
Claimant Lawyers(s): Nicki Samson
Respondent(s): Michael Borgioli, Fidelity Brokerage Services LLC, FMSBONDS.
Respondent Lawyers(s): Julie W. Portera, Sydney A. Marks
Arbitrator(s): Stan West, John C. Newsom, James W. Geiger
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 09-00809 | 04/30/2010 | Claimant(s): June G. Krever, Marc L. Krever
Claimant Lawyers(s): Seth Huberman
Respondent(s): Citigroup Global Markets., Ronald Fishbein
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Thomas L. Curran, Carl Shechter, Kenneth E. Merklen
Hearing Site: Boca Raton, FL
| | $0 |
| 09-01147 | 04/30/2010 | Claimant(s): Lori Caden, Warren Friedman
Claimant Lawyers(s): Avi Wagner
Respondent(s): Gregory Heller, Heller Capital Resources Financial and, Investment Security Corporation
Respondent Lawyers(s): Herman Palarz, Lee D. Lubin
Arbitrator(s): Morris S. Getzels, Edward A. Trabin, Paul H. White
Hearing Site: Los Angeles, CA
| | $0 |
| 09-02444 | 04/29/2010 | Claimant(s): Jamie Hines
Claimant Lawyers(s): Robert Persante
Respondent(s): Ronald Giovino, GWN Securities Inc., Tax Shelter America.
Respondent Lawyers(s): Bruce W. Barnes, Jonathan B. Butler
Arbitrator(s): Richard J. Fuller, Arthur L. Tepper, William H. McCullough
Hearing Site: Clearwater, FL
| | |
| 09-04247 | 04/29/2010 | Claimant(s): Emmanuel Kpabitey
Claimant Lawyers(s): Emmanuel Tetteh Kpabitey
Respondent(s): Costa Tzotzis, Darin Haines
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | |
| 09-06604 | 04/29/2010 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Joseph Buscema
Respondent Lawyers(s): Joseph Buscema
Arbitrator(s): Madelyn A. Levy
Hearing Site: New York, NY
| | $0 |
| 08-01179 | 04/29/2010 | Claimant(s): J. Holbrook., James B. Willard TTEE of Beverly Hudson
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Hornor, Townsend & Kent.
Respondent Lawyers(s): George D. Fagan
Arbitrator(s): Peter M Brabbee, Alexandra M. Linden, William Michael Samsel
Hearing Site: Reno, NV
| | $83,000 |
| 09-00314 | 04/29/2010 | Claimant(s): Michelle Iafrate, Robert Iafrate, RJ and MD Iafrate Family Trust
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Wachovia Securities, Robert Wolter
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Ronald O. Bub, Joseph T. Donnantuoni, Michael D. Briggs
Hearing Site: San Diego, CA
| | $17,534 |
