| 09-05191 | 09/29/2010 | Claimant(s): Mark Dowie & Wendy Ann Schwartz, Michael Berger & Deborah J. Slater Trust, Richard Kirschman Trust
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michele R. Fron
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
|  | $0 |
| 07-02482 | 09/28/2010 | Claimant(s): Christina Keller
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Patricia Hoenings
Respondent Lawyers(s): Patricia Hoenings
Arbitrator(s): Catherine Ladnier, Charles S. Guggenheimer, Bernard Korman
Hearing Site: New York, NY
| | Expungement |
| 09-04331 | 09/28/2010 | Claimant(s): Helen Oathout, Joan Burdick, Peggy Armstrong
Claimant Lawyers(s): William Bankston
Respondent(s): Charles Schwab & Co.., Charles Schwab Corporation, Charles Schwab Financial Services Group, Charles Schwab Investment Management, In, Schwab Investments.
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Alexander H. Slivka, William J. Bender, Nancy J. Highness
Hearing Site: Anchorage, AK
| | $75,000 |
| 09-06771 | 09/28/2010 | Claimant(s): The Brandewie Family Trust
Claimant Lawyers(s): Richard A. Brandewie
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | $36,443 |
| 10-00585 | 09/28/2010 | Claimant(s): John Amoghlian
Claimant Lawyers(s): John Amoghlian
Respondent(s): Christina Simpson, Citicorp Investment Services
Respondent Lawyers(s): Artur M. Wlazlo
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $175 |
| 09-02961 | 09/27/2010 | Claimant(s): Grant Gifford, Healthright Partners
Claimant Lawyers(s): Mark W. Pugsley
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Heidi G. Goebel
Arbitrator(s): Richard J. Lawrence, Clifford N. Coury, Joseph J. Palmer
Hearing Site: Salt Lake City, UT
| | $4,424,460 |
| 10-00383 | 09/27/2010 | Claimant(s): Alan Thietje and Michelle Thietje
Claimant Lawyers(s): Mark K. Davis
Respondent(s): Angelo Cortes, Morgan Stanley
Respondent Lawyers(s): Lawrence G. Barbot
Arbitrator(s): Roy J. Moceri
Hearing Site: Seattle, WA
| | $25,425 |
| 09-03449 | 09/27/2010 | Claimant(s): Richard & Janice Wolf
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Carl Cornaglia
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Dennis C. Cronin, Samuel H. Chorches, Jonathan Christian Byron
Hearing Site: New London, CT
| | $150 |
| 09-06815 | 09/24/2010 | Claimant(s): Corinne Matser
Claimant Lawyers(s): Corinne J. Matser
Respondent(s): LPL Financial LLC, Laurence Finn
Respondent Lawyers(s): Amanda C. Hawley, Matthew S. Rork
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $20,809 |
| 10-01950 | 09/24/2010 | Claimant(s): Richard W. Deckmann Family Trust
Claimant Lawyers(s): Marilyn K. Deckmann
Respondent(s): Wells Fargo Advisors, Michele Kief
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Alan J. Blocher
Hearing Site: Wilmington, DE
| | $5,805 |
