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
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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
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