| 07-03516 | 08/05/2009 | Claimant(s): Joseph Petrone
Claimant Lawyers(s): Linda M. Deola
Respondent(s): Investacorp., Ladenburg Thalmann Financial Services LL
Respondent Lawyers(s): Mark J. Astarita, Michael J. Astarita
Arbitrator(s): Kip C. Lubcke, John R. Pepe, Linda J. Baer
Hearing Site: Newark, NJ
| | |
| 08-04271 | 08/05/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Steven G. Leventhal
Respondent(s): Marvin Wolfman
Respondent Lawyers(s): Marvin I. Wolfman
Arbitrator(s): Linda Ashley
Hearing Site: New York, NY
|  | $0 |
| 07-02062 | 08/05/2009 | Claimant(s): Glen Stone, Sandra Stone
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Robert R. Nursey, Robert L. Chisolm, Robert J. Gregory
Hearing Site: Dallas, TX
| | $0 |
| 09-00888 | 08/04/2009 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Marion J. Vomhof
Respondent(s): Anthony Troia
Respondent Lawyers(s): Anthony Charles Troia
Arbitrator(s): Eric J. Sussman
Hearing Site: New York, NY
| | |
| 08-04489 | 08/04/2009 | Claimant(s): Enrico Cassara
Claimant Lawyers(s): Enrico Cassara
Respondent(s): E*Trade Clearing LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Fred S. Pieroni
Hearing Site: Newark, NJ
| | $38 |
| 08-03550 | 08/03/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Mintz
Respondent(s): Donald Glover
Respondent Lawyers(s): Donald Lee Glover
Arbitrator(s): Perry Lee Taylor, Daniel H. Kolber, Kenneth I. Daniels
Hearing Site: Atlanta, GA
| | |
| 09-00271 | 08/03/2009 | Claimant(s): Donna Lail
Claimant Lawyers(s): Donna Lail
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Cathy Gress Springer
Arbitrator(s): Bruce Jones
Hearing Site: Indianapolis, IN
| | |
| 08-00097 | 08/03/2009 | Claimant(s): Estate of Vera Dennington, Gordon Axton, Norma Axton, Shepard Smith
Claimant Lawyers(s): Jason Pang Fe Lee
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Thomas C. McNally, Donald H. Korn, Thomas E. Quinlin
Hearing Site: San Francisco, CA
| | $146,515 |
| 08-02659 | 08/03/2009 | Claimant(s): Wilfred Underwood
Claimant Lawyers(s): Wilfred J. Underwood
Respondent(s): Richard Brownstein, SII Investments.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Arnold Limsky, Edith M. Novack, Thomas Anthony Brady
Hearing Site: Newark, NJ
| | $5,750 |
| 08-04984 | 08/03/2009 | Claimant(s): The Schaer Trust U/A DTD 03/10/2006
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | $16,429 |
