| 09-03932 | 06/21/2011 | Claimant(s): Vernon Zurick
Claimant Lawyers(s): Jeffrey A. Esses
Respondent(s): J.P. Morgan Clearing Corp., J.P. Morgan Securities, Bear Stearns Asset Management Inc.
Respondent Lawyers(s): Gabrielle Gould, Stephen M. Sinaiko
Arbitrator(s): Robert D. Greenlee, Gerald K. Moore, Luis D. Rovira
Hearing Site: Denver, CO
|  | $0 |
| 09-05428 | 06/21/2011 | Claimant(s): Brandon Lew, Wendy Lew, Brandon Lew Inherited IRA, Wendy Lew SEP IRA, HMH Emergency Medical Group 401(K) Profi, Lew Family Trust UTA DTD 9/11/07
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Diana Li, Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Diana D. Li, Wendy R. Robinson
Arbitrator(s): Larry Haugaard, Thomas A. Culbertson, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
| | $600 |
| 10-01982 | 06/21/2011 | Claimant(s): Margaret Lyddon, The Margaret C. Lyddon Rev. Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Bankers & Investors Co.
Respondent Lawyers(s): Roger N. Walter
Arbitrator(s): Michael D. Fitzgerald, John W. Jones, Walter N. Vernon
Hearing Site: Kansas City, MO
| | $0 |
| 10-05428 | 06/21/2011 | Claimant(s): Elephant Enterprises.
Claimant Lawyers(s): Charles O'Sullivan
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Brendan M. Murphy
Hearing Site: Tampa, FL
| | $600 |
| 11-00048 | 06/20/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mike Naccarato
Respondent(s): Joan Gerhardt
Respondent Lawyers(s): Joan Gerhardt
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Providence, RI
| | $0 |
| 10-01490 | 06/20/2011 | Claimant(s): Jack Windt, Jack WM. Windt Revocable Living Trust
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Edward Rosenberg
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Horace A. Andrews
Hearing Site: Tampa, FL
| | Expungement |
| 10-01715 | 06/20/2011 | Claimant(s): Janice Ebeling, Leslie Ebeling, Leslie J. Ebeling,Custodian of his IRA
Claimant Lawyers(s): Paul D. Malmfeldt
Respondent(s): Ralph Schneider, Okoboji Financial Services.
Respondent Lawyers(s): Ralph R. Schneider, President, Ralph S. Schneider
Arbitrator(s): Christine C. DeMoss, Lee T. Beske, Frederick Ramos
Hearing Site: Minneapolis, MN
| | $223,870 |
| 11-00385 | 06/20/2011 | Claimant(s): Richard Watts and Sally Warner Watts
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Paul Davis Pearlstein
Hearing Site: Washington, DC
| | $32,925 |
| 09-06496 | 06/17/2011 | Claimant(s): Metal Finishing Association of S. CA
Claimant Lawyers(s): William B. Young
Respondent(s): Wachovia Securities, Evergreen Investment Services.
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Robert D. Sussin, George L. Tindall, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 10-03913 | 06/17/2011 | Claimant(s): Mario Martinez, Trustee of the George H.
Claimant Lawyers(s): Gerald W. Alston
Respondent(s): Donald Marshall, Roselyn Marshall, First Financial Equity Corporation
Respondent Lawyers(s): Donald Richard Marshall, Edwin A. Barkel
Arbitrator(s): Herschell E. Parent, Joe S. Tarrer, Richard D. Fincher
Hearing Site: Phoenix, AZ
| | Dismissed by Rule 12206 |
