| 08-00841 | 11/19/2008 | Claimant(s): Emily Martin Revocable Living Trust
Claimant Lawyers(s): Brett Alcala
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Thomas C. McNally, David R. Finch, Mary H. Evans
Hearing Site: San Francisco, CA
|  | $105,550 |
| 08-00011 | 11/18/2008 | Claimant(s): Lois Grant
Claimant Lawyers(s): Lois A. Grant
Respondent(s): Dave Samuels, Sagepoint Financial.
Respondent Lawyers(s): Barry R. Temkin
Arbitrator(s): Robin Lynn Berry
Hearing Site: San Francisco, CA
| | $0 |
| 03-02903 | 10/21/2008 | Claimant(s): Charles Raulerson
Claimant Lawyers(s): Patrick Baldwin
Respondent(s): Barbara Ralston, Charles Lazzaro, John Openshaw, First Wall Street Corp.
Respondent Lawyers(s): Christopher Mader, Jeffrey S. Kob
Arbitrator(s): Walter F. Dillaway, Mary Margaret Bush, Joseph M. O'Connor
Hearing Site: San Francisco, CA
| | Expungement |
| 06-05368 | 10/15/2008 | Claimant(s): Ji Wei
Claimant Lawyers(s): Bruce J. Rome
Respondent(s): Credit Suisse Securities (USA) LLC, Zhu Jun, Natural Flow Limited
Respondent Lawyers(s): Brian F. Amery, Bruce J. Rome, Jason P. Lee
Arbitrator(s): Charles E. Farnsworth, Jerold R. Babin, James S. Martin
Hearing Site: San Francisco, CA
| | Stipulated Award |
| 08-00641 | 09/03/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A Karoly
Respondent(s): Donald Newman, New Man.
Respondent Lawyers(s): Donald E. Newman
Arbitrator(s): Laurel Littman Gothelf, William A. Husa, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | |
| 07-03539 | 06/16/2008 | Claimant(s): Bruce M. McCoy and Patti A. McCoy
Claimant Lawyers(s): Bruce M. McCoy
Respondent(s): Ryan Burch
Respondent Lawyers(s): Ryan Burch
Arbitrator(s): Carl B. Noelke
Hearing Site: San Francisco, CA
| | $6,429 |
| 07-02000 | 06/09/2008 | Claimant(s): Duncan McCandless
Claimant Lawyers(s): Duncan S. McCandless
Respondent(s): Dennis Willis, Associated Securities Corp.
Respondent Lawyers(s): Samuel Edgerton
Arbitrator(s): Lester Friedman, Cheryl R. Kershner, Walter F. Dillaway
Hearing Site: San Francisco, CA
| | $0 |
| 06-02011 | 06/04/2008 | Claimant(s): John G., and Marcia Y. Wang
Claimant Lawyers(s): John G. Wang
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Yuchia Lin
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Nicholas J. Caputo, Jane Bradley, Nick G. Tarlson
Hearing Site: San Francisco, CA
| | $0 |
| 07-02385 | 05/29/2008 | Claimant(s): Herbert Lim, Nony Luikito-Kim, Herbert K. Lim & Nony L. Lukito-Kim Jt T, Lukito-Lim Family Trust
Claimant Lawyers(s): Herbert K. Lim
Respondent(s): Scottrade.
Respondent Lawyers(s): Ryan M. Blum
Arbitrator(s): Robin Lynn Berry
Hearing Site: San Francisco, CA
| | $10,263 |
| 07-03204 | 05/14/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Ronald Ash
Respondent Lawyers(s): Ronald Ash
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
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