| 10-00217 | 08/13/2010 | Claimant(s): Carol Halonen, Carol N Halonen, IRA
Claimant Lawyers(s): Carol N. Halonen
Respondent(s): Gerald Gries
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Lavon C. Phillips
Hearing Site: Minneapolis, MN
|  | $0 |
| 08-03976 | 08/12/2010 | Claimant(s): Ila Mellul
Claimant Lawyers(s): Lawrence Rosen
Respondent(s): David Marcus, M Holdings Securities.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Carole M. Crosby, James F. Carlson, Daniel Baruch Lidawer
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 09-00417 | 08/12/2010 | Claimant(s): Lorraine Folin, Scott Folin, The Folin Family Trust
Claimant Lawyers(s): P. David Ingalls
Respondent(s): Ronald Tenison
Respondent Lawyers(s): Ronald D. Tenison
Arbitrator(s): John E. Bates, Justine Fischer, Michael G. Hanlon
Hearing Site: Portland, OR
| | $550,000 |
| 09-00230 | 08/12/2010 | Claimant(s): Hal Mullins
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Bonnie A. Pearce, Stephen Kahane, Robert J. Buchner
Hearing Site: Boca Raton, FL
| | $0 |
| 09-00282 | 08/11/2010 | Claimant(s): Mark Farnsley
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Frank Bluestein
Respondent Lawyers(s): Frank J. Bluestein
Arbitrator(s): Walter P. Hitchcock
Hearing Site: San Francisco, CA
| | $41,831 |
| 09-01188 | 08/11/2010 | Claimant(s): Anna Campbell
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Donald Dunakin
Respondent Lawyers(s): Donald Dunakin
Arbitrator(s): Jonathan H. Krotinger, George Burton Brewster, Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | $81,440 |
| 09-02762 | 08/11/2010 | Claimant(s): Dan Schmeidler
Claimant Lawyers(s): Dan Schmeidler
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mai P. Klaassen
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
| | $0 |
| 09-05536 | 08/11/2010 | Claimant(s): Alfred Davenport Jr., A.L. Davenport Trust
Claimant Lawyers(s): Robert L. Risley
Respondent(s): Bjorn Hauerbach, Donald Gorsch, Edward Tom, UBS Financial Services Inc., UBS
Respondent Lawyers(s): Corporate Officer, Neal S. Robb
Arbitrator(s): Theodore G. Bradpiece, Kenneth E. Owen, Cathleen M. Cobb
Hearing Site: Los Angeles, CA
| | $0 |
| 09-04519 | 08/10/2010 | Claimant(s): Tammie Lewis, Tammie L. Lewis Revocable Trust, Wm Lewis Ttee Tammie L. Lewis Rev. Trust
Claimant Lawyers(s): Kevin F. Arthur
Respondent(s): Kathy Gordon, Gordon Financial Services., Medallion Investment Services., TMG Holding Co.., The Medallion Advisory Services
Respondent Lawyers(s): Brian M. Zaid, Thomas J. Schetelich
Arbitrator(s): Wilbert H. Luck, John L. Braxton, Charles C. Fox
Hearing Site: Baltimore, MD
| | $275,600 |
| 09-05418 | 08/10/2010 | Claimant(s): Alton R. Jacobs, Cynthia S. Rosier, Danny L. Beaver, Eugene H. Lefebvre, Herman Wissel, Howard C. Wendzel, Patrick R. Ireland, Rafael E. Castro, T. Michael Rosier, John S. Damico and Mary L. Damico, Joseph P. Rosier and T. Michael Rosier, Mitchell C. Rosenburg & Janis Gilberti-, Norman L. Johnson and Greer Lang Johnson, Oscar Hopkins and Alice S. Hopkins, Otto N. and Cynthia M. Bie, Peter Skemp and Nancy Skemp, Alton R. Jacobs Living Trust Agreement, Beverly A. Jackson Family Trust Agreemen, Billy G. Jackson Family Trust Agreement, Bryant O'B. Smith Char Rem Annuity Trust, et al
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): Charles O'Kelley, Atlantic Coast Securities Corp
Respondent Lawyers(s): William J. Schifino
Arbitrator(s): Nicholas John Taldone, Patrick D. King, Kenneth R. Starr
Hearing Site: Tampa, FL
| | Stipulated Award |
