| 10-03277 | 08/05/2011 | Claimant(s): Claire Chen Custodial Account, Joelle Chen Custodial Account, Marcus Chen Custodial Account, Katy Chen Roth IRA, Teh Chen Roth IRA, Katy Chen and Ten Chen JT
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Emily B. Boote
Hearing Site: Minneapolis, MN
|  | Expungement |
| 11-00216 | 08/05/2011 | Claimant(s): Doris Dawson
Claimant Lawyers(s): D. Daxton White
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Jordan Roy Nelson
Hearing Site: Philadelphia, PA
| | $425 |
| 09-03627 | 08/04/2011 | Claimant(s): The Wilhelmina R. Smith Estate, WCR Family Limited Partnership
Claimant Lawyers(s): Fletcher V. Trammell
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Robert M. Birenbaum, Arno C. Schwethelm, Phillip M. Renfro
Hearing Site: Houston, TX
| | $555,400 |
| 10-00377 | 08/04/2011 | Claimant(s): Anne Erickson, Robert Erickson
Claimant Lawyers(s): Mark K. Davis
Respondent(s): Craig Johnsen, TD Ameritrade., Norman Price, Ronald Robertson, RP Capital LLC, Strategic Capital Group LLC
Respondent Lawyers(s): James J. Vihstadt, William E. Fitzharris
Arbitrator(s): John A. Bender, Thomas D. Cochran, Richard L. Warner
Hearing Site: Seattle, WA
| | $65,013 |
| 10-00749 | 08/04/2011 | Claimant(s): Aaron Berkowitz
Claimant Lawyers(s): Adam Green
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Kathleen K. Murphy
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-04376 | 08/04/2011 | Claimant(s): Jack Loew, Ruth Loew, Loew Revocable Trust
Claimant Lawyers(s): Mark E. Sanders
Respondent(s): John Norquay, Midamerica Financial Services., PivotPoint Advisors
Respondent Lawyers(s): Charles S. Genisio, John Norquay
Arbitrator(s): Terry F. Peppard
Hearing Site: Milwaukee, WI
| | $29,097 |
| 10-01700 | 08/04/2011 | Claimant(s): R. Emigh, R. Kent Emigh Trust dd 1/31/1986
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wedbush Securities Inc., Lisa Gallo
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Thomas C. McNally, Ralph A. Cotton, Louis Anthony Napoli
Hearing Site: San Francisco, CA
| | $0 |
| 10-02903 | 08/04/2011 | Claimant(s): Kevin Swallow
Claimant Lawyers(s): Barry D. Estell
Respondent(s): Timothy Collins, Clarus Capital Partners, Interactive Brokers LLC
Respondent Lawyers(s): David L. Marcus, John J. Nielands
Arbitrator(s): Michael D. Fitzgerald
Hearing Site: Kansas City, MO
| | $0 |
| 10-03778 | 08/04/2011 | Claimant(s): Joe Stapleton
Claimant Lawyers(s): Robert W. Elton
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Daniel P. Lund
Hearing Site: Orlando, FL
| | $0 |
| 09-05036 | 08/03/2011 | Claimant(s): Jane McVey
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Alicia Rasche, Clyde Benninghoff, Lawrence Rasche
Respondent Lawyers(s): Arthur I. Jacobs, Reed S. Schmitt
Arbitrator(s): Todd L. Barlow, Joseph V. Simeri, Christine M. Arnold
Hearing Site: Indianapolis, IN
| | Stipulated Award |
