| 08-02669 | 10/30/2009 | Claimant(s): Florence Campbell Butts
Claimant Lawyers(s): Meredith A. Cunningham
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Jeffrey P. Hinebaugh
Arbitrator(s): Frederick H. Bruce, Dale A. Kaliszeski, B. David Jarashow
Hearing Site: New Orleans, LA
|  | $68,500 |
| 08-03293 | 10/30/2009 | Claimant(s): Gail Pasternack
Claimant Lawyers(s): Adam J. Gana
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Joseph F. Kelley, Mitchell Jay Bayer, Sam Antar
Hearing Site: New York, NY
| | $67,000 |
| 09-00357 | 10/30/2009 | Claimant(s): James W. Lyman and Judith Lyman
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Paul Marshall
Respondent Lawyers(s): Paul Marshall
Arbitrator(s): William H. Fleece, Ronald A. Isackson, David C. Matthews
Hearing Site: Tampa, FL
| | Expungement |
| 08-03538 | 10/30/2009 | Claimant(s): Roseleen Anderson
Claimant Lawyers(s): Roseleen R. Anderson
Respondent(s): Charles Schwab & Co.., Michael Continelli
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): George N. Roy
Hearing Site: Phoenix, AZ
| | $110 |
| 08-04959 | 10/30/2009 | Claimant(s): Ellen Oxman
Claimant Lawyers(s): Stanley Alter
Respondent(s): Bert Iannone, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Peter C. Trent, Sanford S. Stevens, Howard Breindel
Hearing Site: New York, NY
| | $0 |
| 09-00982 | 10/29/2009 | Claimant(s): Alexej Orloff
Claimant Lawyers(s): Ruthann G. Niosi
Respondent(s): Lazard Asset Management Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Joseph F. Generelli, Susan C. Lushing, Abigail J. Pessen
Hearing Site: New York, NY
| | |
| 08-04021 | 10/29/2009 | Claimant(s): Carol A. Villamana Trustee of, Louis C. Villamana Trustee of
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth G. Crowley
Arbitrator(s): Roger L. Crossland, Marvin H. Ginsky, Henry Theodore Vogt
Hearing Site: Hartford, CT
| | $75,616 |
| 08-02040 | 10/29/2009 | Claimant(s): Satish Rampal, Derek Rampal, et al.
Claimant Lawyers(s): Mark R. Osherow
Respondent(s): Morgan Stanley & Co., Willie Brice
Respondent Lawyers(s): Brian C. Hale, Willie J. Brice
Arbitrator(s): Peter J. Lavezzoli, Gloria F. Katz, Ellen J. Abrams
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 07-02493 | 10/28/2009 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): Bruce E. Coolidge
Respondent(s): Mark Ramos, Martin Allamian, Michael Elizondo, Last Atlantis Capital Management, Lek Securities Corporation, Petra Trading Group LLC
Respondent Lawyers(s): Anthony C. Valiulis, Tommy P. Beaudreau
Arbitrator(s): Robert L. Spangler, David I. Goldblatt, Steven David Leader
Hearing Site: New York, NY
| | |
| 08-00949 | 10/28/2009 | Claimant(s): Angela Chan
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Douglas Frederick, Stephanie Chooi
Respondent Lawyers(s): Douglas Glen Frederick, Stephanie Pey Chooi
Arbitrator(s): Joyce L. Hurley, James Belk, James H. De Meules
Hearing Site: Los Angeles, CA
| | $18,678 |
