| 10-04653 | 09/02/2011 | Claimant(s): Christian Malm, Erick Malm, Heidi Malm, Niel Malm, Signe Belden
Claimant Lawyers(s): Daniel S. Hefter
Respondent(s): Charles Schwab & Co.., Reita Malm
Respondent Lawyers(s): John D. Clark, Sean B. Meehan
Arbitrator(s): Michael S. Jordan, Wendell White Clancy, Thomas Michael Genovese
Hearing Site: Chicago, IL
|  | $236,600 |
| 09-06805 | 09/02/2011 | Claimant(s): Thomas Untiedt
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): John Sykes, Kirk Kubach, Mary Kennemur, Paul Chuzi, Paul Richardson, JHS Capital Advisors, Hyde Park Equity Investments, Pointe Capital.
Respondent Lawyers(s): Joseph D. Edmondson
Arbitrator(s): Stuart Sinai, Dana R. Dawe, Roman S. Gribbs
Hearing Site: Detroit, MI
| | $0 |
| 10-05524 | 09/01/2011 | Claimant(s): Lou-Ellen Robbins
Claimant Lawyers(s): Lou-Ellen Robbins
Respondent(s): John Alling, First Wall Street Corp., Wedbush Morgan Securities.
Respondent Lawyers(s): Arthur S. Leider, Charles LaChaussee, John Scott Alling
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | $12,584 |
| 09-05327 | 09/01/2011 | Claimant(s): Bernard Master, Bernard F. Master Rev. Trust
Claimant Lawyers(s): Eric A Jones
Respondent(s): Bradley Kastan, Bear Stearns Companies.
Respondent Lawyers(s): Marion H. Little
Arbitrator(s): David W. Stanton, Erwin John Dugasz, Marvin Brown
Hearing Site: Columbus, OH
| | $0 |
| 09-06683 | 09/01/2011 | Claimant(s): Thomas Campagna
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Gary Goldberg, Gary Goldberg & Co..
Respondent Lawyers(s): Gary Mark Goldberg
Arbitrator(s): Michael E. Olney, Jill I. Gross, Susan Y. Chin
Hearing Site: New York, NY
| | $0 |
| 11-01149 | 09/01/2011 | Claimant(s): Fred Holczer
Claimant Lawyers(s): Fred W. Holczer
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Mitchell B. Goldberg
Hearing Site: Cleveland, OH
| | $925 |
| 10-01624 | 08/31/2011 | Claimant(s): Bryce Jones, Sevi Jones, Jones Family Trust
Claimant Lawyers(s): S. Brett Sutton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Nicholas J. Caputo, Linda M. McCoy, Christopher J. Hadsell
Hearing Site: San Francisco, CA
| | Expungement |
| 10-03343 | 08/31/2011 | Claimant(s): The Becker Family Trust dtd 10/10/98
Claimant Lawyers(s): Robert A. Lisnow
Respondent(s): Andrew Melikidse, Sagepoint Financial.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Martin Mandel, Robert S. Fash, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02514 | 08/30/2011 | Claimant(s): Al Trevisan, Trevisan, Olson and Pyle Investments LLC
Claimant Lawyers(s): Al Trevisan
Respondent(s): Daniel Croke
Respondent Lawyers(s): Daniel M. Croke
Arbitrator(s): Michael F. Brown, Mandel E. Himelstein, Sally G. Williams
Hearing Site: San Diego, CA
| | $370,564 |
| 11-03274 | 08/30/2011 | Claimant(s): M. Gillespie
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): David Herzog
Respondent Lawyers(s): Daniel H. Wannamaker
Arbitrator(s): William R. Jonson
Hearing Site: Houston, TX
| | $257,296 |
