| 09-04953 | 02/04/2010 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Barry R. Temkin
Respondent(s): Jacqueline Hanson-Shea
Respondent Lawyers(s): Jacqueline Lynn Hanson-Shea
Arbitrator(s): Daniel Herbert Margolis
Hearing Site: Washington, DC
| | |
| 08-03602 | 02/04/2010 | Claimant(s): Renwood Erickson
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Emily F. Seesel, Alois S. McAvoy, Morton H. Greenberg
Hearing Site: Minneapolis, MN
|  | $37,500 |
| 09-00383 | 02/04/2010 | Claimant(s): JNG Consulting LLC
Claimant Lawyers(s): Seth Huberman
Respondent(s): Albert Poliak, Douglas Kaiser, Frank Salvatore, Robert Keyser, Thomas Field, Thomas Hands, William Fox, Dawson James Securities.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Steven Gerard Goerke, Kathy N. Novick, Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-01893 | 02/04/2010 | Claimant(s): Carol Belinkie
Claimant Lawyers(s): Carol I. Belinkie
Respondent(s): Thomas Hill
Respondent Lawyers(s): Steven G. Leventhal
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | Expungement |
| 08-00554 | 02/04/2010 | Claimant(s): William H. Agnew and Bernadien R. Agnew
Claimant Lawyers(s): William H. Agnew
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Diane Ciccone, David M. Panko, Paul J. Greco
Hearing Site: Philadelphia, PA
| | $0 |
| 08-00836 | 02/04/2010 | Claimant(s): John Ligums, Mark Leventhal, Jelco.
Claimant Lawyers(s): Pete S. Michaels
Respondent(s): Donald Wojnowski, Empire Financial Group., JESUP & LAMONT SECURITIES CORP, Penson Financial Services.
Respondent Lawyers(s): Christina Tsesmelis, Maureen A. Ryan, Todd A. Zuckerbrod
Arbitrator(s): Howard I. Wilgoren, Jeffrey P. Petrucelly, Maxwell J. Mahoney
Hearing Site: Boston, MA
| | $0 |
| 08-04815 | 02/04/2010 | Claimant(s): Fred Feld and Pearl Feld
Claimant Lawyers(s): Fred Feld
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Payne Templeton
Arbitrator(s): David L. Maislen, Thanayi J. Lindsey, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | $0 |
| 09-02901 | 02/04/2010 | Claimant(s): Indian River Management
Claimant Lawyers(s): David A. Bardes
Respondent(s): Charles Atkins, Teresa Doane, Private Capital Management
Respondent Lawyers(s): Dana N. Pescosolido
Arbitrator(s): Barth Satuloff
Hearing Site: Boca Raton, FL
| | $0 |
| 09-04708 | 02/04/2010 | Claimant(s): Robert Dunn
Claimant Lawyers(s): Robert E. Dunn
Respondent(s): LPL Financial LLC, Stephen Lomsdalen
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | $163 |
| 09-04755 | 02/04/2010 | Claimant(s): Jay H. Mintz IRA Rollover, Jay H. Mintz Revocable Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Annie M. Moriarty
Arbitrator(s): Neil Harvey Smith
Hearing Site: Charlotte, NC
| | $0 |
