| 09-04391 | 01/10/2011 | Claimant(s): Reba Ceniglis, Tom Ceniglis
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Dale Johnson, Morgan Stanley & Co., William Atwood Jr.
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Sherrie R. Abney, Lawrence R. Maxwell, W. Scott Newmann
Hearing Site: Dallas, TX
|  | $0 |
| 09-02939 | 01/07/2011 | Claimant(s): Roger Maurer, Shay Lindemann, Maurer and Associates Capital Management
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Dennis R. Frohlich, Jerome C. Zackroff, Leonard M. Goldstein
Hearing Site: Denver, CO
| | Expungement |
| 09-04866 | 01/07/2011 | Claimant(s): Patrick J. Rohan., Diane E. Rohan Profit Sharing Plan U/A, Patrick J. Rohan Pension Plan U/A dtd 3/, Patrick J. Rohan & Diane E. Rohan Trust, Patrick J. Rohan Trust
Claimant Lawyers(s): Christopher T. Vernon, Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Doris V. Knotter, James J. Dobbin, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | Expungement |
| 10-00536 | 01/07/2011 | Claimant(s): Hazel Sleight, Ivan Sleight
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): Joseph L. Mangan, Paul R. Meyer, James E. Bartels
Hearing Site: Boise, ID
| | $213,486 |
| 10-01800 | 01/07/2011 | Claimant(s): Jimmy Hair, Karen Hair, Oceans 30.
Claimant Lawyers(s): Rosemary J. Shockman
Respondent(s): Jared Roskelley, Sagepoint Financial., Keith Degreen
Respondent Lawyers(s): Alan Baskin, Robert B. Ericson, Robert D. Mitchell
Arbitrator(s): Charles W. Herf, Marc Kalish, Henry L. Dahl
Hearing Site: Phoenix, AZ
| | Expungement |
| 09-00759 | 01/06/2011 | Claimant(s): Rhonda Waksman
Claimant Lawyers(s): Richard W. Kelly
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Jayme L. Butcher
Arbitrator(s): Kathleen K. Murphy, Michael D. McDowell, Elena M. Colianni
Hearing Site: Pittsburgh, PA
| | $40,323 |
| 09-05897 | 01/06/2011 | Claimant(s): Mary Calzat, Mary D. Calzat IRA, The Calzat Family Trust, DTD 11/25/98
Claimant Lawyers(s): David S. Harrison
Respondent(s): Gregory Bolton, Stephen Wild, Thomas Zielinski, QA3 Financial Corp.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Douglas Edwards, Katherine M. Harmeyer, Merrill Dean Taylor
Hearing Site: Las Vegas, NV
| | Expungement |
| 09-04773 | 01/04/2011 | Claimant(s): Rhoda Seidler Revocable Trust
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Elizabeth H Lindh
Arbitrator(s): Melvin S. Feldman, Richard William DeWeese, Willard H. Altman
Hearing Site: Los Angeles, CA
| | $208,000 |
| 09-05541 | 01/04/2011 | Claimant(s): Dawn Coulson, Steckbauer Weinhart Jaffe, LLP 401 (K)
Claimant Lawyers(s): Jeffrey A. Cohen, William W. Steckbauer
Respondent(s): Karen Rosen, The Rosen Group
Respondent Lawyers(s): Karen Lyn Rosen
Arbitrator(s): Mary L. Williams
Hearing Site: Los Angeles, CA
| | $9,454 |
| 10-01471 | 01/04/2011 | Claimant(s): Jane Klotz
Claimant Lawyers(s): Nathan P. Pereira
Respondent(s): Michael Dawson, Mikiel Debary, Marquette De Bary Co.., Monarch Financial Corporation
Respondent Lawyers(s): Charles M. O'Rourke, Marquette de Bary, Michael F. Dawson, Mikiel de Bary
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
