| 08-00479 | 03/01/2010 | Claimant(s): Grand Avenue Capital Partners, Grand Avenue Capital
Claimant Lawyers(s): Stephen Scott Talt
Respondent(s): Michael Marevich, Nick Liang, Thomas Korzenecki, Etech Securities.
Respondent Lawyers(s): Stephen Scott Talt, Tony D. Chen
Arbitrator(s): Robert J. Ruben, Basil Lewis, Esther A. Spachner
Hearing Site: Los Angeles, CA
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| 09-00882 | 03/01/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Daniel Henrichs
Respondent Lawyers(s): Susan K. Roach
Arbitrator(s): Gerald Cohen, Sean Patrick Abernathy, David B. Lacks
Hearing Site: St. Louis, MO
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| 09-01983 | 03/01/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): David Gaeckler
Respondent Lawyers(s): James G. Marsh
Arbitrator(s): David N. Brainin, Boyd H. Scheff, William E.S. Browning
Hearing Site: New York, NY
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| 09-03604 | 03/01/2010 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Jamie Dick
Respondent Lawyers(s): Jamie Lydell Dick
Arbitrator(s): James W. Warren
Hearing Site: Las Vegas, NV
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| 09-03843 | 03/01/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Michael Jacob Ewart
Respondent(s): Desiree Lu
Respondent Lawyers(s): Desiree H. Lu
Arbitrator(s): Jeffrey E. Skogsbergh
Hearing Site: Los Angeles, CA
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| 09-01604 | 03/01/2010 | Claimant(s): Janice Duffek
Claimant Lawyers(s): Janice C Duffek
Respondent(s): Stephen Morton, Macarthur Strategies.
Respondent Lawyers(s): Edward Gartenburg, Stephen Francis Morton
Arbitrator(s): Carolyn V. Quadt, Kenneth E. Kreh, Steven J. Feldman
Hearing Site: Los Angeles, CA
|  | $2,800 |
| 04-06763 | 03/01/2010 | Claimant(s): Carol Bach, Daniel Bach, Daniel Bach c/f Marisa Serefina, Daniel Bach IRA, Daniel Bach SEP IRA, Jonathan Bach, Eric Bach & Daniel Bach, Olga Bach & Daniel Bach, Steven Bach, Laura Bach & Daniel Bach
Claimant Lawyers(s): Kevin J. Begley
Respondent(s): Anthony Calascione, Darren DeLuca, Dominick Bianco, Gregory Hasho, Joel Podelsky, Kenneth Rodgers, Lawrence Balzano, Lizy Chandy, Thomas Francis, Thomas Tiernan, Continental Broker-Dealer Corp., Wexford Clearing Services
Respondent Lawyers(s): Anthony Joseph Calascione, Craig Riha, Darren DeLuca, Dominick Bianco, Gregory Mumtaz Hasho, Joel S. Podelsky, John R. Braatz, Kenneth Rodgers, Lawrence Balzano, Michael Clements, Thomas Paul Francis, Timothy Feil
Arbitrator(s): Joseph R. Lally, Robert S. Getman, David Denison
Hearing Site: Newark, NJ
| | $0 |
| 09-01764 | 03/01/2010 | Claimant(s): Phyllis Shore
Claimant Lawyers(s): Jennifer M. Jordan
Respondent(s): Citigroup Global Markets., Ron Cukier, Smith Barney.
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Daniel J. McCarthy, John A. Scudiero, Philip Rachmelowitz
Hearing Site: New York, NY
| | $0 |
| 07-02162 | 02/26/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Christopher J. Carney
Respondent(s): Robert Miller, Thipp Ratsaboutseua
Respondent Lawyers(s): Robert D. Miller, Thipp Ratsaboutseua
Arbitrator(s): Anthony J. Soukenik, Bruce S. Feldacker, Jesse David Hill
Hearing Site: St. Louis, MO
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| 09-00260 | 02/26/2010 | Claimant(s): Timothy Leahy
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): John S. Lord
Arbitrator(s): David P. Slater, Gary F. Lang, James John Mougey
Hearing Site: Orlando, FL
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