| 09-05245 | 03/15/2010 | Claimant(s): Tissapeh Hami
Claimant Lawyers(s): Tissapeh Hami
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Edwin C. Shiver
Hearing Site: San Francisco, CA
|  | $9,781 |
| 09-02994 | 03/09/2010 | Claimant(s): Mahin Vadi & Cyrus Bahram Soltani
Claimant Lawyers(s): Reza Soltani
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John J. Vihstad
Arbitrator(s): Kathryn J. Toronto, Andrew R. Epstein, Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
| | $0 |
| 08-01757 | 02/25/2010 | Claimant(s): Paul Norman
Claimant Lawyers(s): Brian G. Isaacson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): James D. Murray, Paul D. Gutierrez, David D. Stein
Hearing Site: San Francisco, CA
| | $0 |
| 09-01470 | 02/18/2010 | Claimant(s): Naresh K. Jain and Santosh K. Jain
Claimant Lawyers(s): Naresh K. Jain
Respondent(s): Scottrade.
Respondent Lawyers(s): Thomas J. Azar
Arbitrator(s): Helen Marinak Blohm, Andrew R. Epstein, Edwin C. Shiver
Hearing Site: San Francisco, CA
| | $0 |
| 09-05198 | 02/17/2010 | Claimant(s): James Patrick
Claimant Lawyers(s): James W. Patrick
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | $425 |
| 09-00708 | 02/03/2010 | Claimant(s): The Horowitz Family Trust
Claimant Lawyers(s): Robyn C. Crowther
Respondent(s): Jerry Anderson, E*Trade Securities LLC, Marcus Hernandez, Robert Trent, Steven Christensen
Respondent Lawyers(s): Lonnie L. Simpson
Arbitrator(s): Robin Lynn Berry, Steven K. McGinnis, John J. Shook
Hearing Site: San Francisco, CA
| | $643,950 |
| 09-03765 | 01/21/2010 | Claimant(s): Randel Kendall, The Kendall Family Living Trust
Claimant Lawyers(s): Seth L. Hanson
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Branden O. Wilhelm
Arbitrator(s): F. Conger Fawcett
Hearing Site: San Francisco, CA
| | $0 |
| 09-01578 | 01/15/2010 | Claimant(s): Steven L. Linsey Trust
Claimant Lawyers(s): Steven L. Linsey
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Michelle Judy Brant
Hearing Site: San Francisco, CA
| | $47,272 |
| 08-03552 | 12/23/2009 | Claimant(s): G. Menyharth
Claimant Lawyers(s): G. Paul Menyharth
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Paul D. Gutierrez
Hearing Site: San Francisco, CA
| | $0 |
| 09-00378 | 12/22/2009 | Claimant(s): Vasu Arora
Claimant Lawyers(s): Vasu D. Arora
Respondent(s): TD Ameritrade., Joseph Moglia
Respondent Lawyers(s): Brad S. Daniels, Lois O. Rosenbaum
Arbitrator(s): Gary A. Hooker, Thomas D. Reese, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $0 |
