| 10-02953 | 12/16/2010 | Claimant(s): Donald Englehart
Claimant Lawyers(s): Donald Joseph Englehart
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): W. Sean Kelleher
Hearing Site: Cleveland, OH
|  | $2,324 |
| 09-03814 | 11/19/2010 | Claimant(s): Joseph Jefferys
Claimant Lawyers(s): Brian P. Biggins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Melinda L. Peevy
Arbitrator(s): Truman M. Hogan, W. Sean Kelleher, Kimberly C. Lawrence
Hearing Site: Cleveland, OH
| | $27,160 |
| 09-04525 | 11/15/2010 | Claimant(s): Kilbane Plumbing & Heating.
Claimant Lawyers(s): Roger W. Van Deusen
Respondent(s): Ferris, Baker Watts
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): James A. Laurenson, Harvey Michael Rosenberg, John C. Aten
Hearing Site: Cleveland, OH
| | $0 |
| 09-07273 | 09/24/2010 | Claimant(s): John Goodman
Claimant Lawyers(s): Brett S. Krantz
Respondent(s): Steven Udelson
Respondent Lawyers(s): Steven Udelson
Arbitrator(s): James A. Laurenson
Hearing Site: Cleveland, OH
| | $0 |
| 08-01631 | 08/18/2010 | Claimant(s): Andrew Sims, Mark Sims, Patricia Sims
Claimant Lawyers(s): Christopher M. DeVito
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Jeffrey M. Bain, Richard S. Hines, Shelly A. Goering
Hearing Site: Cleveland, OH
| | $0 |
| 07-02883 | 07/12/2010 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Keybanc Capital Markets Inc., John Hartman
Respondent Lawyers(s): John Hartman, Wm. Joseph Baker
Arbitrator(s): Ellen Holland Keller, I. Bernard Trombetta, Marianne L. Simpson
Hearing Site: Cleveland, OH
| | Settlement |
| 08-01973 | 04/27/2010 | Claimant(s): The Minette B. Fisher Family Trust, The Nanette L. Fisher Family Trust, The Roe Green Foundation, The Roe Green Trust
Claimant Lawyers(s): James F. Koehler
Respondent(s): Charles Schwab, Evelyn Dilsaver, George Pereira, Charles Schwab & Co.., Randall Merk, Robert Lewandowski, Roger Baranovic, Schwab Investments, The Charles Schwab Corporation
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Ellen Holland Keller, Kathleen P. Helbig-Hannan, Harold Dean Tolbert
Hearing Site: Cleveland, OH
| | $310,074 |
| 09-03112 | 04/01/2010 | Claimant(s): SMH Capital Inc.
Claimant Lawyers(s): Martha F. McDugald
Respondent(s): John Defini
Respondent Lawyers(s): John Defini
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $0 |
| 09-03315 | 01/21/2010 | Claimant(s): Sandra Vincent
Claimant Lawyers(s): Jeffrey A. Sellers
Respondent(s): Richard Fishbach, Ferris, Baker Watts, RBC Capital Markets LLC
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Ellen Holland Keller
Hearing Site: Cleveland, OH
| | $0 |
| 07-02960 | 12/01/2009 | Claimant(s): Trinity United Methodist Church
Claimant Lawyers(s): Thomas C. Wagner
Respondent(s): George Franz, Allegheny Investments, LTD
Respondent Lawyers(s): Ari H. Jaffe, James F. Koehler
Arbitrator(s): Jeffrey M. Bain, Thomas R. Skulina
Hearing Site: Cleveland, OH
| | $110,900 |
