| 09-05230 | 09/15/2010 | Claimant(s): The Beaty Revocable Survivor's Trust
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Jonathan Holman Hathaway, John J. Fitzpatrick, Robert Mallin Hirsch
Hearing Site: San Francisco, CA
|  | $0 |
| 09-00203 | 09/14/2010 | Claimant(s): Maureen Graf, Robert Bulchis
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Ralph A. Cotton, James N. D'Orso, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 09-04136 | 09/14/2010 | Claimant(s): Maimoona Mirdad
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Donald S. Green
Hearing Site: San Francisco, CA
| | $49,000 |
| 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 |
| 09-04184 | 08/23/2010 | Claimant(s): Derrick Nesbitt
Claimant Lawyers(s): Brian K. Hilliard
Respondent(s): Frankie Ross, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Jerold R. Babin, William W. Haskell, M. Scott Donahey
Hearing Site: San Francisco, CA
| | $0 |
| 09-03908 | 08/18/2010 | Claimant(s): Barbara Wammer, Nelson Irrevocable Trust, Nelson Marital Trust
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Kenneth Myers, 1st Discount Brokerage.
Respondent Lawyers(s): Susan Yoffee
Arbitrator(s): Gary H. Kahn, Juleanne A. Thiebaut, Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $202,300 |
| 08-01412 | 08/18/2010 | Claimant(s): Gerard Chang
Claimant Lawyers(s): Gerard Chang
Respondent(s): Deborah Tharp, Citigroup Global Markets., Paul Katerndahl, Citigroup Smith Barney.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Ferdinand Schoch, Harry B. Endsley, Juleanne A. Thiebaut
Hearing Site: San Francisco, CA
| | $0 |
| 09-02893 | 08/18/2010 | Claimant(s): Steven Steinberg
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | $0 |
| 08-02800 | 08/16/2010 | Claimant(s): Lee Ng, Lim Low
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Fengjui Hsu, John Hsu, Pyramid Financial Corp.
Respondent Lawyers(s): Eric J. Sidebotham, Fengjui Sun Hsu
Arbitrator(s): James S. Martin, Jeffrey M. Allen, Homer L. Davis
Hearing Site: San Francisco, CA
| | $338,610 |
| 09-02467 | 08/16/2010 | Claimant(s): Darru K. Hsu, Hsu Living trust U/A 05/05/03 Darru Hsu
Claimant Lawyers(s): Darru K. Hsu
Respondent(s): UBS Financial Services Inc., Mildred Peltzman, Neil Gavande
Respondent Lawyers(s): Kathleen Adams, Lawrence Brennan
Arbitrator(s): Douglas E. DeTata, Thomas D. Reese, Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | $0 |
