| 09-06496 | 06/17/2011 | Claimant(s): Metal Finishing Association of S. CA
Claimant Lawyers(s): William B. Young
Respondent(s): Wachovia Securities, Evergreen Investment Services.
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Robert D. Sussin, George L. Tindall, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
|  | Stipulated Award and Expungement |
| 10-01149 | 06/10/2011 | Claimant(s): Ellen Brown
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Neuberger Berman LLC
Respondent Lawyers(s): Mitchell Albert, Tara A. LaClair
Arbitrator(s): Herbert Leslie Greenberg, Vincent J. Natoli, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | $0 |
| 09-00017 | 05/27/2011 | Claimant(s): Gerard Balian
Claimant Lawyers(s): Gerard Balian
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Edward A. Trabin, Edward Banian, Steven A. Wawra
Hearing Site: Los Angeles, CA
| | $4,300 |
| 10-02766 | 05/24/2011 | Claimant(s): Brent Richtsmeier
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Jack Kalisz, National Securities Corporation, Joseph Stevens & Co..
Respondent Lawyers(s): Josepha Sorbara, Mark Roth
Arbitrator(s): Annette Gres Shepherd, Robert E. Jenks, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-04660 | 05/24/2011 | Claimant(s): John and Roneale(Sue) Ports
Claimant Lawyers(s): John Ports
Respondent(s): Richard Clarke
Respondent Lawyers(s): Richard Lionel Clarke
Arbitrator(s): A. Joel Klein, Harris J. Howard, Barton J. Brewer
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04643 | 05/23/2011 | Claimant(s): Janbaz Sidiqi
Claimant Lawyers(s): Janbaz Sidiqi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $88 |
| 09-02990 | 05/17/2011 | Claimant(s): Sharon Metsch, Stephen Metsch
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Clifford Gamble, Linda Sechser, Scott Hultsman
Respondent Lawyers(s): Benjamin W. White, Linda Sechser, Scott Hultsman
Arbitrator(s): Arthur T. Berggren, Debra Brothers Self, Ara Kassabian
Hearing Site: Los Angeles, CA
| | $127,106 |
| 10-02831 | 05/13/2011 | Claimant(s): Richard Schreiber, Richard E. Schreiber IRA, Richard E. Schreiber Retirement Trust
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management, In, The Charles Schwab Corporation
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): David J. Anderson, Annette Gres Shepherd, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02919 | 05/10/2011 | Claimant(s): Brad A. Baggarly, SEP-IRA
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-03091 | 05/04/2011 | Claimant(s): Dalton Investments LLC
Claimant Lawyers(s): Jeffrey Wittenberg
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Renee M. Zaytsev
Arbitrator(s): Thomas E. Shuck, Robert J. Ruben, George Frederick Garris
Hearing Site: Los Angeles, CA
| | $250,000 |
