| 08-01873 | 03/09/2010 | Claimant(s): David L. Schriger, co-trustee of the Res
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Ralph H. Erickson, Edward I. Miller, James P. Murphy
Hearing Site: Los Angeles, CA
|  | $0 |
| 08-02858 | 03/02/2010 | Claimant(s): Ken Sirls
Claimant Lawyers(s): Paul A. Lax
Respondent(s): Wachovia Securities, Mark Schneider, Randall Hunt
Respondent Lawyers(s): Pete S. Michaels, Stephen Young
Arbitrator(s): Robert B. Hansohn, Ivan Claman, Allan H. Colman
Hearing Site: Los Angeles, CA
| | $0 |
| 09-01604 | 03/01/2010 | Claimant(s): Janice Duffek
Claimant Lawyers(s): Janice C Duffek
Respondent(s): Stephen Morton, Macarthur Strategies.
Respondent Lawyers(s): Edward Gartenburg, Stephen Francis Morton
Arbitrator(s): Carolyn V. Quadt, Kenneth E. Kreh, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | $2,800 |
| 08-05012 | 02/24/2010 | Claimant(s): Mary Morlas, Mary Morlas IRA, Mary R. Morlas Trust
Claimant Lawyers(s): Elizabeth A. Lowery
Respondent(s): Christopher Kennedy, John Kennedy, Robert Weaver, RBC Capital Markets LLC
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): William J. Adams
Hearing Site: Los Angeles, CA
| | $0 |
| 09-04737 | 02/11/2010 | Claimant(s): Joy Deschaine, IRA
Claimant Lawyers(s): Joy Deschaine
Respondent(s): UBS Financial Services Inc., Richard Bernstein
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04815 | 02/04/2010 | Claimant(s): Fred Feld and Pearl Feld
Claimant Lawyers(s): Fred Feld
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Payne Templeton
Arbitrator(s): David L. Maislen, Thanayi J. Lindsey, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | $0 |
| 09-00405 | 01/29/2010 | Claimant(s): J. Benefield, Mary Benefield, The Benefield Family Trust
Claimant Lawyers(s): Martin B. Greenbaum, Ron Miller
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Vincent J. Natoli, Ronald F. Rybandt, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | $366,840 |
| 08-01386 | 01/25/2010 | Claimant(s): Dale Beaman, Gina Beaman, D and G Momentum
Claimant Lawyers(s): Curt R. Craton
Respondent(s): Ameriprise Financial Services., Walter Coulter
Respondent Lawyers(s): Chad Weaver, Walter Lee Coulter
Arbitrator(s): Martin Mandel, Robert W. Vernon
Hearing Site: Los Angeles, CA
| | $135,037 |
| 08-03424 | 01/22/2010 | Claimant(s): Ronald Pelley
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): John B. Wells, Elizabeth A. Copley, Glen W. Hanne
Hearing Site: Los Angeles, CA
| | $0 |
| 09-00877 | 01/13/2010 | Claimant(s): Frank Lopez, Frank R. Lopez Living Trust
Claimant Lawyers(s): David Harrison
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert C. Albini
Hearing Site: Los Angeles, CA
| | $0 |
