08-01631 | 08/18/2010 | Claimant(s): Andrew Sims, Mark Sims, Patricia Sims Claimant Lawyers(s): Christopher M. DeVito Respondent(s): Wachovia Securities Respondent Lawyers(s): Alan Rafterman Arbitrator(s): Jeffrey M. Bain, Richard S. Hines, Shelly A. Goering Hearing Site: Cleveland, OH
| | $0 |
09-02893 | 08/18/2010 | Claimant(s): Steven Steinberg Claimant Lawyers(s): Val D. Hornstein Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kathleen S. Adams Arbitrator(s): Cheryl R. Kershner Hearing Site: San Francisco, CA
| | $0 |
10-00107 | 08/18/2010 | Claimant(s): Catherine Miner Claimant Lawyers(s): Gregory L. Miner Respondent(s): Chase Investment Services Corp. Respondent Lawyers(s): Mary Ann Jenkins Arbitrator(s): Jason G. Ourso Hearing Site: New Orleans, LA
| | $0 |
08-01327 | 08/16/2010 | Claimant(s): Amnon Kawa, Amva Holdings, L. P. Claimant Lawyers(s): Silvio Nardoni Respondent(s): Shlomo Eplboim, Eplboim, Poutre & Co. Respondent Lawyers(s): David Berke Arbitrator(s): Roberta Haft, Marvin B. Karelitz, James Stephan Mulholland Hearing Site: Los Angeles, CA
| | $253,843 |
08-02800 | 08/16/2010 | Claimant(s): Lee Ng, Lim Low Claimant Lawyers(s): Brett A. Alcala Respondent(s): Fengjui Hsu, John Hsu, Pyramid Financial Corp. Respondent Lawyers(s): Eric J. Sidebotham, Fengjui Sun Hsu Arbitrator(s): James S. Martin, Jeffrey M. Allen, Homer L. Davis Hearing Site: San Francisco, CA
| | $338,610 |
09-00078 | 08/16/2010 | Claimant(s): Marvin E. Bruce, Trustee Claimant Lawyers(s): Caroline Smith Gidiere Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Alan F. Enslen Arbitrator(s): Elliott David Finkel, Victor B. Taube, Patricia H. Latham Hearing Site: Memphis, TN
| | $100,000 |
09-01937 | 08/16/2010 | Claimant(s): Rina Schwarz, Rina Schwarz Revocable 1996 Trust Claimant Lawyers(s): Jonathan W. Evans Respondent(s): Dusan Zachystal, Individual Asset Management, Interactive Brokers LLC Respondent Lawyers(s): Derek C. Anderson, Jeffrey D. Fox Arbitrator(s): Arthur T. Berggren, Mark A. Karpe, Arthur Alef Hearing Site: Los Angeles, CA
| | $0 |
09-02467 | 08/16/2010 | Claimant(s): Darru K. Hsu, Hsu Living trust U/A 05/05/03 Darru Hsu Claimant Lawyers(s): Darru K. Hsu Respondent(s): UBS Financial Services Inc., Mildred Peltzman, Neil Gavande Respondent Lawyers(s): Kathleen Adams, Lawrence Brennan Arbitrator(s): Douglas E. DeTata, Thomas D. Reese, Cheryl R. Kershner Hearing Site: San Francisco, CA
| | $0 |
09-04222 | 08/16/2010 | Claimant(s): Michelle Brilliant, Robert Hougie Claimant Lawyers(s): David B. Gordon Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Gilbert R. Serota Arbitrator(s): Rebecca A. Novak, Judith E. Gross, Eva H. Posman Hearing Site: New York, NY
| | $0 |
09-02201 | 08/13/2010 | Claimant(s): Scott A. Kurstin/CUS Gary Kurstin, Bette Kurstin Declaration of Trust, Gary A. Kurstin Trust, Ryan G. Kurstin Revocable Trust Claimant Lawyers(s): Michael P. Amad Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Jon A. Jacobson Arbitrator(s): James W. Geiger, Kalman J. Lester, Thomas W. Miller Hearing Site: Boca Raton, FL
| | $75,000 |