| 11-00948 | 02/08/2012 | Claimant(s): Robert Vaudry
Claimant Lawyers(s): Robert Vaudry
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Robert Pincus, Jettie K. Thomas, Joan Seewald Brodsky
Hearing Site: New York, NY
|  | $0 |
| 10-00053 | 02/07/2012 | Claimant(s): Richard C. & Nancy J. Carsberg
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Neal Smalbach
Arbitrator(s): Russell W. Merriman
Hearing Site: Tampa, FL
| | $125,030 |
| 10-04616 | 02/07/2012 | Claimant(s): Helen Tommerup, Randall Tommerup, H. Tommerup-Arrowhead, H. Tommerup-Executive Park, R. Tommerup-Arrowhead, R. Tommerup-Executive Park
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Melvin Day, Waveland Capital Partners LLC
Respondent Lawyers(s): Dennis James, Jeffrey S. Kob
Arbitrator(s): Keith C. Folkman, Laurie E. Law, Steven Thomas Larsen
Hearing Site: Helena, MT
| | $328,875 |
| 11-01991 | 02/07/2012 | Claimant(s): Everest Properties II
Claimant Lawyers(s): Erik O. Valderhaug
Respondent(s): Retirement Capital Group Securities
Respondent Lawyers(s): Kimberly A. Montonati
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
| | $60,153 |
| 11-00239 | 02/07/2012 | Claimant(s): Pavonia Investments, SA (Bahamas)
Claimant Lawyers(s): John J. Muldoon
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Bernard A. Becker, Barth Satuloff, Barry David Thorpe
Hearing Site: Miami, FL
| | $0 |
| 10-01601 | 02/03/2012 | Claimant(s): Helen Dunlap Trust, Willis F. Dunlap Trust
Claimant Lawyers(s): James R Anderson, James R. Anderson
Respondent(s): Jay Harriman, Raymond James Financial Services.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): E. William Pastor, Catherine Stewart, Karen R. Perri
Hearing Site: Philadelphia, PA
| | $15,300 |
| 10-02802 | 02/03/2012 | Claimant(s): Carolynn Harmon, Robert Harmon
Claimant Lawyers(s): Carolyn Harmon
Respondent(s): Sandra Rayba, Scott Pionk, William Rice, Michigan Securities., Select Financial Group
Respondent Lawyers(s): Michael P. Marsalese, President of the Company, Scott D. Pionk
Arbitrator(s): Edward M. Olson, Diane Catherine Tietmeyer, John F. Burns
Hearing Site: Detroit, MI
| | $239,663 |
| 10-04395 | 02/03/2012 | Claimant(s): Peter Reddy
Claimant Lawyers(s): Esther Kim
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): John Patrick Kelly
Hearing Site: San Francisco, CA
| | $12,133 |
| 10-04956 | 02/03/2012 | Claimant(s): Estate of Carolyn Colvin EXE J. Colvin
Claimant Lawyers(s): Fredrick R. Tulley
Respondent(s): Charlton Lyons, Ameriprise Financial Services., Patricia Hatcher
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): William B. Miller, Jason G. Ourso, Allen J. Krouse
Hearing Site: New Orleans, LA
| | Expungement |
| 10-05129 | 02/03/2012 | Claimant(s): Steven Firestone, Steven N. Firestone UTA Charles Schwab &, Steven N. Firestone, MD Charles Schwab &
Claimant Lawyers(s): Steven N. Firestone
Respondent(s): Alfonso Portillo, Bari Havlik, Carrie Dwyer, Catherine Macgregor, Cathy Sabo, Charles Schwab, Evelyn Dilsaver, George Pereira, Jan Hier-King, Jeffrey Mortimer, Joseph Martinetto, Kenneth Salinger, Kimon Peter Daifotis, Koji Felton, Charles Schwab & Co.., Matthew Hastings, Michael Haydel, Randall Fillmore, Randall Merk, Ronald Carter, et al
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Benjamin F. Breslauer, Robert Dean McKinley, John R Sustersic
Hearing Site: Los Angeles, CA
| | Expungement |
