| 09-00268 | 02/03/2011 | Claimant(s): Avis Nakama, Barbara Porter, Kazuko Tietz, Laureen Branch, Marjorie Parker, Melvin Aoki, Piikoi Kawananakoa, Blur Industries., Branch Holdings., Just Black, Lum Borthers, Avis Y. Nakama Trust, Barbara Porter Revocable Trust, Melvin R. Aoki Revocable Living Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Clifford Popper, Ellyn Mccolgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, Travis Branch, William Betta
Respondent Lawyers(s): Brian J. Ellis, Clifford Alan Popper, H Thomas Fehn, Kevin G. Fitzgerald, Michael R. Weissman, Tracy L. Gerber, Travis Anthony Branch
Arbitrator(s): Harry B. Endsley, Harriette L. Holt, Richard Bruce Dole
Hearing Site: Honolulu, HI
|  | Expungement |
| 09-05276 | 02/03/2011 | Claimant(s): Lewis Kivo
Claimant Lawyers(s): Lewis Kivo
Respondent(s): Oppenheimer & Co.., Michael Lesser
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Kinchen C. Bizzell, Robert Youdelman, Myrna E. DeJesus
Hearing Site: New York, NY
| | $40,600 |
| 09-02029 | 02/03/2011 | Claimant(s): Richard Brown, Sarah & David Brown Trust by Karen Midy
Claimant Lawyers(s): Donald Liberman
Respondent(s): Bruce Pomerantz, Charles Merwin, Wachovia Securities
Respondent Lawyers(s): Brian J. Ellis, Robert A.W. Boraks
Arbitrator(s): Craig Scott Bartlett, Louis H. Miron, John E. Shine
Hearing Site: Newark, NJ
| | $0 |
| 08-04956 | 02/01/2011 | Claimant(s): Cecil Wyatt, Nellie Wyatt
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Robert M. Brennan
Arbitrator(s): M. Eileen Dorsey, Lynne M. Gomez, David F. Barrett
Hearing Site: Birmingham, AL
| | $210,375 |
| 09-04246 | 02/01/2011 | Claimant(s): Diana Bennett, Martin Bennett
Claimant Lawyers(s): Raji Kochhar
Respondent(s): Randy Ross
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Dorothy F. Gray, Richard S. Peskin, Martin L. Feinberg
Hearing Site: New York, NY
| | $58,000 |
| 09-07076 | 02/01/2011 | Claimant(s): John Farls, Mary Farls
Claimant Lawyers(s): James J. Loll
Respondent(s): Mark Battaline
Respondent Lawyers(s): John R. O'Keefe
Arbitrator(s): John T. Meredith, Justin Henry McCarthy, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
| | $0 |
| 08-01388 | 01/31/2011 | Claimant(s): Deborah Herman, Frederick Herman
Claimant Lawyers(s): Frederick Herman
Respondent(s): Colleen Langs, Charles Schwab & Co.., Marcia Novick
Respondent Lawyers(s): Garrett Wynne
Arbitrator(s): Laurel Littman Gothelf, Thomas H. O'Connor, Sterling N. Frost
Hearing Site: San Francisco, CA
| | Expungement |
| 10-01182 | 01/31/2011 | Claimant(s): Howard Semones
Claimant Lawyers(s): Kevin W. Holt
Respondent(s): Paul Curran, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Jane C. Carney
Hearing Site: Richmond, VA
| | Expungement |
| 08-00500 | 01/28/2011 | Claimant(s): Marcia Sternlieb
Claimant Lawyers(s): Brian H. Reis
Respondent(s): Jason Woessner, Stanley Brooks, Brookstreet Securities Corp.
Respondent Lawyers(s): H Thomas Fehn, Jason Woessner
Arbitrator(s): John Steve Azadian, Muriel Desloovere, Edith N. Dinneen
Hearing Site: Clearwater, FL
| | $1,150 |
| 08-03963 | 01/28/2011 | Claimant(s): Ruth Paulsen by David Paulsen thr POA
Claimant Lawyers(s): Herbert Rubin
Respondent(s): Wachovia Securities, Evergreen Investment Services.
Respondent Lawyers(s): Joseph P. Pohl
Arbitrator(s): Allan E. Johnson, John Nino Brenkovich, Richard Gee
Hearing Site: New York, NY
| | $27,015 |
