| 09-03803 | 02/22/2011 | Claimant(s): Gilbert Lee, Lee Family Trust
Claimant Lawyers(s): Marc D. Mabile
Respondent(s): Bart Martinez, Wachovia Securities, A.G. Edwards & Sons.
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
|  | $34,305 |
| 09-04009 | 02/22/2011 | Claimant(s): The Bypass Trust of the Allderdice, The King Credit Shelter Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S Adams
Arbitrator(s): Kenneth E. Owen, Karen A. Lockwood, Thomas W. Gregory
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-05535 | 02/22/2011 | Claimant(s): Maria Thornton
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): John P. Cullem, Constance d'Angelis, Howard L. Hill
Hearing Site: Tampa, FL
| | $25,200 |
| 09-05568 | 02/22/2011 | Claimant(s): Nicole Secrest, William F. Runge IRA, Trust Created fbo Nicole A. Secrest, William F. Runge Revocable Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Nikolas Komyati
Arbitrator(s): William H. Malloy, Merle D. Rockwell, Douglas Earl McLaren
Hearing Site: Washington, DC
| | $124,156 |
| 09-06421 | 02/22/2011 | Claimant(s): Wally Grant
Claimant Lawyers(s): Ira Scot Meyerowitz
Respondent(s): James Luther, Charles Schwab & Co.., Peter Pavlakis
Respondent Lawyers(s): Nicki Samson
Arbitrator(s): Robert L. Salzberg, Peter A. Goldman, Denise N. Seegobin
Hearing Site: New York, NY
| | Expungement |
| 10-03610 | 02/22/2011 | Claimant(s): David Fanella
Claimant Lawyers(s): David Fanella
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $10,425 |
| 09-05989 | 02/22/2011 | Claimant(s): Angele Bahuth, Joseph Bahuth
Claimant Lawyers(s): Philip W. Bartenetti
Respondent(s): Andrew Coulter, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Robert B. Moran, Bruce A. Davidson, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01336 | 02/22/2011 | Claimant(s): Myra Pierotti
Claimant Lawyers(s): Fred M. Acuff
Respondent(s): Julia San Roman, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Stephen H. Biller
Hearing Site: Memphis, TN
| | $0 |
| 10-03568 | 02/22/2011 | Claimant(s): Sheldon Teichman & Karen Teichman
Claimant Lawyers(s): Sheldon Teichman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Meredith Faro
Arbitrator(s): Michael J. Quarequio
Hearing Site: Boca Raton, FL
| | $38 |
| 08-04427 | 02/18/2011 | Claimant(s): TGS-NOPEC Geophysical Company
Claimant Lawyers(s): Todd A Higgins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Arno C. Schwethelm, Larry J. Craddock, Martin Epner
Hearing Site: Houston, TX
| | $525,000 |
