| 08-03952 | 02/01/2010 | Claimant(s): Crisostomo ("Tom") Garcia, Crisostomo B. Garcia Trust
Claimant Lawyers(s): James P. Delphey
Respondent(s): Stephen Kaplan, Gilford Securities Incorporated
Respondent Lawyers(s): Gabriel A. Mendel, Martin H. Kaplan
Arbitrator(s): Guenter S. Cohn, Barry E. Kersh, Evelyn R. Wiggins
Hearing Site: San Diego, CA
|  | $0 |
| 09-01931 | 01/21/2010 | Claimant(s): Ellen Baron
Claimant Lawyers(s): William S. Bonnheim
Respondent(s): Mark Holland, Banc of America Investment Services Inc.
Respondent Lawyers(s): John Bamford
Arbitrator(s): Lester G. Stiel
Hearing Site: San Diego, CA
| | $13,713 |
| 09-04172 | 01/21/2010 | Claimant(s): Mustafa Amanatullah
Claimant Lawyers(s): Mustafa I. Amanatullah
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Catherine C. Luth
Arbitrator(s): Janice L. Sperow
Hearing Site: San Diego, CA
| | $31,575 |
| 07-03399 | 11/30/2009 | Claimant(s): Brian Kenner, Kathleen Kenner, BKK Acquisition II, BKK Acquisition III, BKK Holdings
Claimant Lawyers(s): Michael Hume, Richard J. Edson
Respondent(s): Deutsche Bank Securities., Fred Crozier, William Conn
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Harvey C. Flodin, Anatoly "Tony" Zuban, James J. Dobbin
Hearing Site: San Diego, CA
| | $500,000 |
| 08-00273 | 11/25/2009 | Claimant(s): Edmund Gann, Edmund A. Gann Trustee
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Andrew Geller, James Shelburne, UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb, Payne L. Templeton
Arbitrator(s): Judith A. Gust, Robert L. Levin, Joseph T. Donnantuoni
Hearing Site: San Diego, CA
| | $60,000 |
| 09-01020 | 11/24/2009 | Claimant(s): John Stahl
Claimant Lawyers(s): John K Stahl
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): James H. Bowersox
Hearing Site: San Diego, CA
| | $213 |
| 07-03391 | 11/17/2009 | Claimant(s): Dawn Maywood, Sami Maywood
Claimant Lawyers(s): Vincent D. Slavens
Respondent(s): Michael Berteletti, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Michael Bertel, Paul J. Schumacher
Arbitrator(s): Jerome M. Libenson, Houston Allen Goddard, John Scott Carter
Hearing Site: San Diego, CA
| | Stipulated Award and Expungement |
| 09-02086 | 11/02/2009 | Claimant(s): Raymond Yorke
Claimant Lawyers(s): Raymond Yorke
Respondent(s): Wells Fargo Investments, Darrell Hesford
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
| | $0 |
| 08-01288 | 10/08/2009 | Claimant(s): Harwell Family Trust, William P. Harwell Trust
Claimant Lawyers(s): Jan D. Atlas, William P. Harwell
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): Doris V. Knotter, John C. Lees, Michael D. Briggs
Hearing Site: San Diego, CA
| | $0 |
| 08-02173 | 10/02/2009 | Claimant(s): Laurence Rivkin, the IRA Rollver, LNR Family Trust dtd 08/02/1987
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management Inc, The Charles Schwab Corporation
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Judith A. Gust, Steven A. Fox, Michael D. Briggs
Hearing Site: San Diego, CA
| | $327,245 |
