| 07-02095 | 02/19/2008 | Claimant(s): Stephen S. Francis
Claimant Lawyers(s): Stephen S Francis
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): William Michael Samsel
Hearing Site: San Francisco, CA
|  | $213 |
| 07-00877 | 12/26/2007 | Claimant(s): Vera Maria Knowles IRA FBO
Claimant Lawyers(s): Vera Maria Knowles
Respondent(s): Matthew Collier, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): H. Kyeng Lee
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | Expungement |
| 07-01852 | 12/21/2007 | Claimant(s): Keith Kritikakos and Hollis L. Orvik
Claimant Lawyers(s): Keith A. Kritikakos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Ferdinand Schoch
Hearing Site: San Francisco, CA
| | $125 |
| 06-00618 | 12/17/2007 | Claimant(s): Steven Thompson
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Thomas D. Reese, Dean J. Dietrich, Steven K. McGinnis
Hearing Site: San Francisco, CA
| | $0 |
| 06-03212 | 12/13/2007 | Claimant(s): Lucille Small
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Citigroup Global Markets., Richard Olsen, Sara Farner, William Blick
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Douglas W. Oldfield, Allan Brotsky, David C. Tateosian
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 06-03213 | 12/06/2007 | Claimant(s): Rindy Merrifield Inc Def Ben Plan 1/00
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Michael Woods, Mutual Service Corporation
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): James S. Martin, Walter J. Huntley, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | $0 |
| 05-00937 | 11/27/2007 | Claimant(s): Li Li
Claimant Lawyers(s): Li Li
Respondent(s): Alex Shaw, White Pacific Securities.
Respondent Lawyers(s): Robert T. Sullwold
Arbitrator(s): Robin Lynn Berry, Alan P. Fraser, Dennis Markham Smith
Hearing Site: San Francisco, CA
| | $0 |
| 06-01699 | 11/21/2007 | Claimant(s): Mildred Bierce, Mildred E. Bierce IRA
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): John J. Fitzpatrick, William Michael Samsel, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $250 |
| 06-03597 | 11/06/2007 | Claimant(s): Estate of Vera L. Freeberg
Claimant Lawyers(s): Jay William Jacobus
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Herb Schwartz, Linda M. McCoy, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $0 |
| 03-02127 | 11/02/2007 | Claimant(s): William F. Garland
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Dale Low, Eric Salz, Charles Schwab & Co.., Samuel Berger, SDR Capital Management.
Respondent Lawyers(s): Brian A. Carlis, Richard A. Karoly
Arbitrator(s): Sterling N. Frost, Peter Kassel, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
