| 09-04006 | 04/29/2010 | Claimant(s): Betty Alden, Christine Garza, Cruz Chavez, Flavio Alarcon, Jennifer Beaver, Joe Paulson, Keith Beatty, Virginia Alarcon
Claimant Lawyers(s): Joseph S. Fogel
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Fredrick A. Rafeedie
Arbitrator(s): David J. Anderson, Robert S. Fash, Seymour Schoen
Hearing Site: Los Angeles, CA
|  | $0 |
| 09-06261 | 04/23/2010 | Claimant(s): Marty Wekser
Claimant Lawyers(s): Marty Wekser
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Melvin S. Feldman
Hearing Site: Los Angeles, CA
| | $692 |
| 09-00976 | 04/16/2010 | Claimant(s): The Sohaili Trust
Claimant Lawyers(s): Masood Sohaili
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mai P. Klaassen
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | $1,050 |
| 09-03504 | 04/16/2010 | Claimant(s): Mid Coast Builders, Mid Coast Builders Supply Inc. 1, Mid Coast Builders Supply. 2, The New Mid-Coast Plan BJC, The New Mid-Coast Plan BJC PM, The New Mid-Coast Plan REC, The Cook Trust dtd 5/3/88
Claimant Lawyers(s): Alan R. Templeman
Respondent(s): Citigroup Global Markets., John Sottile, Morgan Stanley Smith Barney
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Stanley C. Morris, Steven J. Feldman, James Stephan Mulholland
Hearing Site: Los Angeles, CA
| | $0 |
| 09-00267 | 04/14/2010 | Claimant(s): Jo Ann Waggoner Trust dtd 04/24/1996
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): The Seidler Companies Incorporated
Respondent Lawyers(s): Peter B. Dolan
Arbitrator(s): Richard J. Stall, Michael K. Zweig, Paul H. White
Hearing Site: Los Angeles, CA
| | $135,473 |
| 09-02221 | 04/14/2010 | Claimant(s): Andrew Honzel, Beverly Honzel
Claimant Lawyers(s): Lawrence D. Lewis
Respondent(s): Benjamin Daniels, Raymond James Financial Services.
Respondent Lawyers(s): Charles L. Gallagher, Robert Rudnicki
Arbitrator(s): Edward I. Miller, Richard M. Norman, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | $0 |
| 08-00049 | 04/13/2010 | Claimant(s): Marie Atake, Pat Atake
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Legend Merchant Group., Strasbourger Pearson Tulcin Wolff.
Respondent Lawyers(s): Joseph Pastore, Ron Moschetta
Arbitrator(s): Gerald F. Corrigan, Rosa Linda Guadarrama, Stephen Malcolm Squire
Hearing Site: Los Angeles, CA
| | $112,859 |
| 09-05598 | 04/09/2010 | Claimant(s): Michele Morris
Claimant Lawyers(s): Michele Morris
Respondent(s): Sharone Hakman
Respondent Lawyers(s): Vanessa M. Hoffman
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $213 |
| 08-03838 | 03/25/2010 | Claimant(s): Joann Laskin
Claimant Lawyers(s): David N. Lake
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Nikole J. Crosby
Arbitrator(s): Susan B. Gans-Smith, Ronald F. Rybandt, Robert C. Albini
Hearing Site: Los Angeles, CA
| | $0 |
| 09-01739 | 03/17/2010 | Claimant(s): Stephen Farley
Claimant Lawyers(s): Stephen A. Farley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $150 |
