09-06630 | 06/24/2010 | Claimant(s): Gerald P. Lenaghan, IRA Claimant Lawyers(s): Gerald P. Lenaghan Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Sean B. Meehan Arbitrator(s): Harvey Alan Blicksilver Hearing Site: Boca Raton, FL
| | $10,395 |
08-02041 | 06/24/2010 | Claimant(s): Milton Seymour Claimant Lawyers(s): Mack A. Bethea Respondent(s): Wachovia Securities, Michael Odom Respondent Lawyers(s): George C. Freeman Arbitrator(s): Robert C. Upton, Donald Milo Helton, Douglas E. Miller Hearing Site: Jackson, MS
| | $375 |
09-02400 | 06/24/2010 | Claimant(s): Michael Jacobs, Michael Jacobs Custod. for Julie Jacobs, Michael Jacobs Custodian Jeffery Jacobs, Diane Jacobs Disclaimer Trust Claimant Lawyers(s): Alan L Frank Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Amy Bard Arbitrator(s): Mitchell S. Friedman, Richard Gee, Andrew Shearman Benjamin Hearing Site: New York, NY
| | $0 |
05-02413 | 06/22/2010 | Claimant(s): Arlene Johnson, IRA, Laurance Johnson, Arlene and Laurance Johnson, Arlene Johnson as trustee Claimant Lawyers(s): George J. Vournazos Respondent(s): Stuart Updegrove, First Republic Group Respondent Lawyers(s): Steven E. Mellen Arbitrator(s): Susanne J. Hollander, Paul T. Greening, Josette Belvedere Hearing Site: Chicago, IL
| | $0 |
07-03428 | 06/18/2010 | Claimant(s): Juan Sanchez, Luz Sanchez, Norlly Andrea, Ruth Velasquez Claimant Lawyers(s): William Paul Nolan Respondent(s): George Malagon, Joseph Lanaro, Kyle Rowe Respondent Lawyers(s): George Honorato Malagon, Joseph Nicholas Lanaro, Kyle Browning Rowe Arbitrator(s): Kenneth M. Felder Hearing Site: New York, NY
| | $117,574 |
09-00560 | 06/18/2010 | Claimant(s): Claimant Lawyers(s): Respondent(s): Brad Sweatland, UBS Financial Services Inc. Respondent Lawyers(s): Brad Sweatland, Wm. Joseph Baker Arbitrator(s): Thomas C. Wagner, Emily J. Lewis, Wiley H. Clodfelder Hearing Site: Columbus, OH
| | Settlement |
09-01685 | 06/18/2010 | Claimant(s): Kenneth S. L. Ching and Anita N. Ching Claimant Lawyers(s): Margery S. Bronster Respondent(s): Gregory Kwan, Charles Schwab & Co.. Respondent Lawyers(s): Michele Fron Arbitrator(s): James R. Dickson, Laura Effel, Walter H. Ikeda Hearing Site: Honolulu, HI
| | Expungement |
08-03300 | 06/18/2010 | Claimant(s): Richard Jedwab and Marilyn Jedwab Claimant Lawyers(s): Benjamin Lapin Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): John J. Nielands Arbitrator(s): Fred L. Simon, Ellyn S. Roth, Jeffrey P. Halperin Hearing Site: New York, NY
| | $0 |
09-00812 | 06/18/2010 | Claimant(s): Ayida Mohamed and Ibrahim Alwareeth Claimant Lawyers(s): Ibrahim A Alwareeth Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Sterling N. Frost, John B. Weingart, Nancy A. Yonge Hearing Site: San Francisco, CA
| | $0 |
09-06550 | 06/18/2010 | Claimant(s): Yin Qu Claimant Lawyers(s): Yin Qu Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Erin K. Fair Arbitrator(s): Peter M Brabbee Hearing Site: San Francisco, CA
| | $38 |