| 10-01172 | 01/24/2011 | Claimant(s): Thomas Muecke
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Charles A. Gall
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
|  | $0 |
| 09-04602 | 01/21/2011 | Claimant(s): Konstantinac C. Panagios, Paul J. Panagios, Konstantina C. Panagios and Pauline Chil, Pauline Chilakis and Konstantina C. Pana
Claimant Lawyers(s): Paul J. Panagios
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michele R. Fron
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 09-04669 | 01/21/2011 | Claimant(s): Thomas Lewellen, Vida Hill, Thomas & Mary C/F Matthew Lewellen UGMA, Thomas L. Lewellen Do PA DTD 10/1/1980
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Donald F Winningham
Arbitrator(s): Benjamin F. Richards, Veera V. Konka, Casey John Whalley
Hearing Site: Little Rock, AR
| | $100,000 |
| 09-01961 | 01/21/2011 | Claimant(s): Cynthia Brown, Wayne Brown
Claimant Lawyers(s): Joel M. Weiner
Respondent(s): Wachovia Securities, Dennis Anderson
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): Ray J. Grzebielski, Jay K. Buck, Lee H. Goodman
Hearing Site: Chicago, IL
| | $0 |
| 10-02724 | 01/21/2011 | Claimant(s): Jawaid Murtaza
Claimant Lawyers(s): Jawaid Murtaza
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04462 | 01/20/2011 | Claimant(s): Alphonse Matt, Alphonse J.Matt,Jr. (Bene) IRA Rollover
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Lawrence J. Welte, James A. Lundberg, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
| 09-05925 | 01/20/2011 | Claimant(s): Thomas Matchner
Claimant Lawyers(s): Mary K. Wyman
Respondent(s): Mark Sibert, M-Cubed Consulting
Respondent Lawyers(s): Mark Sibert
Arbitrator(s): Harvey C. Flodin
Hearing Site: San Diego, CA
| | Stipulated Award |
| 10-00640 | 01/20/2011 | Claimant(s): Lawrence Ngou
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): Lawrence Labine, Dewaay Financial Network, Llc
Respondent Lawyers(s): Alan S. Baskin, Sam Y. Edgerton
Arbitrator(s): Vaughn Thomas Hale, Thomas A. Culbertson, W. Alex King
Hearing Site: Los Angeles, CA
| | $100,000 |
| 09-01833 | 01/20/2011 | Claimant(s): Susan Green, William Green
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mary Beth Hogan
Arbitrator(s): Ron Pekoe, Peter F. Crowell, Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $600 |
| 10-02327 | 01/20/2011 | Claimant(s): Richard Cain
Claimant Lawyers(s): Richard Y. Cain
Respondent(s): Wachovia Securities, Paul Ross
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Langfred W. White
Hearing Site: Jacksonville, FL
| | $0 |
