| 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 |
