| 09-02974 | 11/17/2010 | Claimant(s): Edward Heet and Barbara Heet
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Mark R. Lee, Joseph P. Keaveny, James M. Stern
Hearing Site: St. Louis, MO
|  | Stipulated Award and Expungement |
| 09-03292 | 11/17/2010 | Claimant(s): The RainMaker Financial Co. Pension Plan
Claimant Lawyers(s): Joseph Forman
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): G Thomas Fleming
Arbitrator(s): Robert A. Lombardi, Salvatore A. Sciortino, W. Alex King
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 09-06878 | 11/17/2010 | Claimant(s): Bruce Firestone
Claimant Lawyers(s): Bruce M. Firestone
Respondent(s): Charles Schwab, Evelyn Dilsaver, George Pereira, Kimon Peter Daifotis, Charles Schwab & Co.., Randall Merk
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | Expungement |
| 10-02072 | 11/17/2010 | Claimant(s): Fae Gedz, The Fae Gedz Trust Revocable U/A
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $2,925 |
| 09-05172 | 11/16/2010 | Claimant(s): National Financial Services.
Claimant Lawyers(s): Michael G. Shannon
Respondent(s): John Stroud, Stroud Capital Fund, Stroud Capital GP, Stroud Capital Management LLC
Respondent Lawyers(s): David Stroud
Arbitrator(s): Douglas F. Stone, Susan Mills Richmond, Clarence Smith
Hearing Site: New York, NY
| | $0 |
| 09-05435 | 11/16/2010 | Claimant(s): Arlene McAdam, Charles McAdam
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Wachovia Securities, John Waite
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): William F. Skewes, Marilyn R. Lewis, Edward Allan Hindman
Hearing Site: Denver, CO
| | $100,300 |
| 07-00800 | 11/16/2010 | Claimant(s): Lewis Young
Claimant Lawyers(s): Lewis Young
Respondent(s): SunAmerica Securities.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Jerry H. Friedland
Hearing Site: Phoenix, AZ
| | $0 |
| 09-01735 | 11/16/2010 | Claimant(s): Jacqueline Frost, Est. of John M. Frost by Richard Scheyer
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Michael Kresh, H.D. Vest Investment Services. Inc., Royal Alliance Associates.
Respondent Lawyers(s): Gary S. Kessler, Jonathan C. Thau
Arbitrator(s): Philip M. Mandel, Joel P. Mellis, Peter P. Skomorowsky
Hearing Site: New York, NY
| | $0 |
| 09-01782 | 11/16/2010 | Claimant(s): Joanne Tweed
Claimant Lawyers(s): Joanne Tweed
Respondent(s): UBS Financial Services Inc., Mark Swan
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Gunnar Thowsen, Guenter S. Cohn, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $0 |
| 09-02239 | 11/16/2010 | Claimant(s): Aldrich Fernandez
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Judith A. Gust, Robert John Wagener, E. Milton Frosburg
Hearing Site: San Diego, CA
| | $0 |
