| 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 |
| 07-01411 | 06/02/2009 | Claimant(s): Steven Wierzba
Claimant Lawyers(s): Steven Wierzba
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Ferdinand Schoch, Thomas H. O'Connor, Paul D. Gutierrez
Hearing Site: San Francisco, CA
| | $0 |
| 09-00173 | 05/28/2009 | Claimant(s): Fred Yoshida Trustee of the Yoshida Trus
Claimant Lawyers(s): Fred Yoshida
Respondent(s): Dustin Buck, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Edwin C. Shiver
Hearing Site: San Francisco, CA
| | $0 |
| 08-01002 | 05/20/2009 | Claimant(s): The Estate of Mary A. Musil
Claimant Lawyers(s): Richard A. Kutche
Respondent(s): Wachovia Securities, A.G. Edwards & Sons., Prudential Equity Group
Respondent Lawyers(s): James C. Browning, Kenneth Fuchs
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $36,717 |
| 08-03878 | 05/13/2009 | Claimant(s): Michael Ioane
Claimant Lawyers(s): Michael Scott Ioane
Respondent(s): Scottrade.
Respondent Lawyers(s): Ryan M. Blum
Arbitrator(s): Nick G. Tarlson
Hearing Site: San Francisco, CA
| | $2,538 |
| 08-01036 | 05/08/2009 | Claimant(s): Bonnie Burdett & Joyce Anthony TTees of
Claimant Lawyers(s): George S. Trevor
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Helen Marinak Blohm, Bradley C. Mitchell, Fred D. Butler
Hearing Site: San Francisco, CA
| | $0 |
| 08-02373 | 04/28/2009 | Claimant(s): Katharine Murphy
Claimant Lawyers(s): Richard Pratt
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kelly Moynihan
Arbitrator(s): Amy Seltzer
Hearing Site: San Francisco, CA
| | $0 |
| 07-02567 | 04/24/2009 | Claimant(s): Jerri Curry
Claimant Lawyers(s): Jerri Curry
Respondent(s): Graham Rogney, Charles Schwab & Co..
Respondent Lawyers(s): Stephen Lau
Arbitrator(s): Alexander L. Mazour, Fred D. Butler, Hadden Wing Roth
Hearing Site: San Francisco, CA
| | $0 |
| 04-00772 | 04/16/2009 | Claimant(s): Isabelita Nopuente, OB1 Ltd
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Cornelius Choy, H.D. Vest Investment Services
Respondent Lawyers(s): Gary S. Kessler, Robert T. Sullwold
Arbitrator(s): Thomas H. O'Connor, Peter H. Daly, Joseph A. Lasky
Hearing Site: San Francisco, CA
| | $0 |
| 08-03203 | 04/09/2009 | Claimant(s): The Larry S. Liederman Living Trust
Claimant Lawyers(s): Larry S Liederman
Respondent(s): Foliofn Investments.
Respondent Lawyers(s): Michael J. Hogan
Arbitrator(s): Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $25 |
