| 09-05875 | 11/08/2010 | Claimant(s): Anna Wang, Hongwei Ma
Claimant Lawyers(s): Chester Hayes, John C. Gorman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Sterling N. Frost, Jeffrey M. Allen, Robert M. Greber
Hearing Site: San Francisco, CA
|  | $94,800 |
| 09-01865 | 09/02/2010 | Claimant(s): Donald Morrow
Claimant Lawyers(s): Lawrence W. Miles
Respondent(s): Wedbush Securities Inc., Lisa Gallo
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Richard B. Bullock, Sterling N. Frost, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $108,000 |
| 10-00070 | 07/15/2010 | Claimant(s): Alvin M. Coppersmith, IRA Account, Alvin M. and Linda Coppersmith Per/Acct, Alvin M. Coppersmith Keogh Account
Claimant Lawyers(s): Alvin M. Coppersmith
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | $0 |
| 09-01477 | 06/29/2010 | Claimant(s): Intevac.
Claimant Lawyers(s): Robert L. Schnell
Respondent(s): Citigroup Global Markets., Citigroup Inc.
Respondent Lawyers(s): Julie A. Kole
Arbitrator(s): Gary A. Hooker, Sterling N. Frost, Gail Killefer
Hearing Site: San Francisco, CA
| | Auction Rate Securities related |
| 09-00812 | 06/18/2010 | Claimant(s): Ayida Mohamed and Ibrahim Alwareeth
Claimant Lawyers(s): Ibrahim A Alwareeth
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Sterling N. Frost, John B. Weingart, Nancy A. Yonge
Hearing Site: San Francisco, CA
| | $0 |
| 03-02127 | 11/02/2007 | Claimant(s): William F. Garland
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Dale Low, Eric Salz, Charles Schwab & Co.., Samuel Berger, SDR Capital Management.
Respondent Lawyers(s): Brian A. Carlis, Richard A. Karoly
Arbitrator(s): Sterling N. Frost, Peter Kassel, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
