| 04-03297 | 10/17/2007 | Claimant(s): John Wai, Kassandra Wai, Custodian Account
Claimant Lawyers(s): Albert L. Boasberg
Respondent(s): Jeffrey Rodvien, Morgan Stanley DW Inc.
Respondent Lawyers(s): Mukya S. Porter
Arbitrator(s): Herbert Liberman
Hearing Site: San Francisco, CA
|  | $0 |
| 07-00197 | 10/01/2007 | Claimant(s): Anthony and Doris Campagna Irrev. Trus
Claimant Lawyers(s): Connie Janich Hamrah
Respondent(s): Douglas Hedley, Ross Galloway, UBS Financial Services Incorporated
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Ferdinand Schoch, Harry B. Endsley, Juleanne A. Thiebaut
Hearing Site: San Francisco, CA
| | $0 |
| 06-04786 | 09/27/2007 | Claimant(s): Mindy Bokser
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Andrew Israel, Anthony Kirincic, David Lindner, Jay Frost, Kirlin Securities.
Respondent Lawyers(s): Isaac M. Zucker, Jay Frost
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | Settlement |
| 06-00122 | 09/24/2007 | Claimant(s): Donchee Lin, IRA
Claimant Lawyers(s): Donchee Lin
Respondent(s): Weiming Ho, Integral Financial LLC
Respondent Lawyers(s): Weiming Ho
Arbitrator(s): Herbert Liberman, Peter H. Daly, David Edward Canter
Hearing Site: San Francisco, CA
| | $38,210 |
| 03-04728 | 09/07/2007 | Claimant(s): Amin Merchant, Apex Trading House
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Edward So, Charles Schwab & Co.., Prudential Equity Group
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Jarrott T. Miller, Richard L. Rubin, Mario Henry Barsotti
Hearing Site: San Francisco, CA
| | $0 |
| 06-00784 | 08/28/2007 | Claimant(s): James Gallen, Mary Gallen
Claimant Lawyers(s): Richard Sacks
Respondent(s): Morgan Stanley DW Inc., Thomas Marinshaw
Respondent Lawyers(s): Aaron L. Danzer
Arbitrator(s): Linda H. Perry-Cabrera, Harve E. Citrin, Kenneth D. Gack
Hearing Site: San Francisco, CA
| | $375 |
| 03-02289 | 08/13/2007 | Claimant(s): Sandra Murray, Charles G. & Sandra Murray Living Trus
Claimant Lawyers(s): Sandra Murray
Respondent(s): Andrew Fairchild, J.P. Morgan Clearing Corp., A.G. Edwards & Sons., Ronald Kabat, PMG Securities Corporation
Respondent Lawyers(s): Andrew J. Fairchild, Henry Wang, Jeffrey W. Coverdell, Ronald S. Kabat
Arbitrator(s): Robin Lynn Berry, Jonathan H. Krotinger, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $0 |
