| 08-02552 | 09/30/2009 | Claimant(s): Bruce M. Eliot and Denise O. Eliot
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Philip W. Burge, Richard J. Stall, Robert B. Hansohn
Hearing Site: Los Angeles, CA
|  | $96,300 |
| 08-03716 | 09/30/2009 | Claimant(s): Joseph Billera, JOGLO Associates
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David C. Franceski
Arbitrator(s): Monroe Mitchel, Will Murphy, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | $250,000 |
| 09-00766 | 09/30/2009 | Claimant(s): Michael Sprei
Claimant Lawyers(s): Michael Sprei
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $1,473 |
| 09-01811 | 09/30/2009 | Claimant(s): Sarah Carter
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harper Fertig
Arbitrator(s): June White Dillard
Hearing Site: Washington, DC
| | $22,206 |
| 09-00209 | 09/30/2009 | Claimant(s): Elliott Sklar and Naomi Sklar, Elliott Sklar and Naomi Sklar Trust
Claimant Lawyers(s): Elliott Sklar
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $0 |
| 09-01368 | 09/29/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): James Hodges
Respondent Lawyers(s): Thomas C. Costello
Arbitrator(s): AnnDrea M. Benson, Marian Smith Glenn, J. Snowden Stanley
Hearing Site: Baltimore, MD
| | |
| 09-02524 | 09/29/2009 | Claimant(s): Susan Mohr Gomez
Claimant Lawyers(s): Kenneth V. Gomez
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Robert J. Eide
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 05-00165 | 09/29/2009 | Claimant(s): David Sherman
Claimant Lawyers(s): David E. Sherman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | $0 |
| 09-01785 | 09/29/2009 | Claimant(s): Joseph Rici and Carolyn Ricci
Claimant Lawyers(s): Howard Meyers
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Evan Boucher
Arbitrator(s): Frank Muller
Hearing Site: New York, NY
| | $88 |
| 08-02685 | 09/28/2009 | Claimant(s): Hector Nieto
Claimant Lawyers(s): Gary L. Goodenow
Respondent(s): Atlas One Financial Group
Respondent Lawyers(s): Mark E. Zelek
Arbitrator(s): Arthur J. Leibell, Elena G. Rodriguez, Sandro L. Ramos
Hearing Site: Miami, FL
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