| 08-00380 | 06/17/2009 | Claimant(s): Carol Segal, Fredda Levitt, William Siegel
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): John Devaney, Merrill Lynch Pierce Fenner & Smith Inc., United Capital Markets.
Respondent Lawyers(s): Jason S. Haselkorn, Kim Kane
Arbitrator(s): Bernard (Bob) L. Loring, Norman L. Weiss, Lawrence S. Silver
Hearing Site: Miami, FL
|  | Stipulated Award and Expungement |
| 08-04879 | 06/17/2009 | Claimant(s): Beatrice Dreisen U/A/D 02/09/90
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): David M. Levine, Lawrence S. Silver, Neil J. Berman
Hearing Site: Miami, FL
| | $262,000 |
| 08-04810 | 06/16/2009 | Claimant(s): Michael Prevor Roth IRA
Claimant Lawyers(s): Michael A. Prevor
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): David Rich
Hearing Site: Boca Raton, FL
| | $5,319 |
| 09-00171 | 06/16/2009 | Claimant(s): Nicholas Cochran
Claimant Lawyers(s): Nicholas C. Cochran
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Mark R. Topper
Hearing Site: San Francisco, CA
| | $0 |
| 07-03347 | 06/15/2009 | Claimant(s): Ray Gatten
Claimant Lawyers(s): J. Pat Sadler
Respondent(s): Ferris, Baker Watts
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Calvin D. Cevaal, Chase Boone Saunders, Stuart W. Elliott
Hearing Site: Charlotte, NC
| | |
| 08-00362 | 06/15/2009 | Claimant(s): Steven Greenberg, Sylvia Greenberg, William Greenberg
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Capital Growth Financial
Respondent Lawyers(s): Compliance Officer
Arbitrator(s): James M. Baumann, Richard S. Peskin, Martin L. Feinberg
Hearing Site: New York, NY
| | $825,680 |
| 06-00520 | 06/15/2009 | Claimant(s):
Claimant Lawyers(s):
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s):
Hearing Site:
| | $0 |
| 08-02437 | 06/15/2009 | Claimant(s): Santanu Bhattacharya and Gargi Dasgupta
Claimant Lawyers(s): Kevin M. Shelley
Respondent(s): Mitesh Shere, Chicago Investment Group
Respondent Lawyers(s): Brian Neville, Howard Rosenburg
Arbitrator(s): Charles S. Guggenheimer, Arthur H. Sobel, Terrance J. Nolan
Hearing Site: New York, NY
| | $0 |
| 08-04509 | 06/15/2009 | Claimant(s): David Rothschild
Claimant Lawyers(s): David J. Rothschild
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 08-02820 | 06/12/2009 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Robert Whidden
Respondent Lawyers(s): Allan Bloom
Arbitrator(s): Sheldon M. Jaffe, Michael D. Harrison, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | |
