| 09-03470 | 04/21/2010 | Claimant(s): Honolulu Professional SVCS LTD U/A
Claimant Lawyers(s): Margery S. Bronster
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Frank R Weaver, Carol M. Egan, Theodore G. Ray
Hearing Site: Honolulu, HI
|  | $45,000 |
| 09-02243 | 04/21/2010 | Claimant(s): Green Family Holdings
Claimant Lawyers(s): Stephen Hochhauser
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Frank M. Suttell, Linda Yarden, Leona Beane
Hearing Site: New York, NY
| | $0 |
| 09-03575 | 04/21/2010 | Claimant(s): Wanda Fraley
Claimant Lawyers(s): Robert Nast
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Monette E. Draper
Hearing Site: Indianapolis, IN
| | $0 |
| 08-03904 | 04/20/2010 | Claimant(s): Kathleen Pomeroy, The Marital Deduction Trust, The Pomeroy Bypass Trust, The Pomeroy Family Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Jane Bradley, William A. Husa, Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $768,944 |
| 09-00992 | 04/20/2010 | Claimant(s): Jean R. Christopherson - Wall IRA
Claimant Lawyers(s): David Gaba
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): G. E. Craig Doupe, Brian T. Applegate, William R. Hickman
Hearing Site: Seattle, WA
| | $95,150 |
| 09-02523 | 04/20/2010 | Claimant(s): Michael Tartaglione
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): American Capital Partners
Respondent Lawyers(s): John Kilkenny
Arbitrator(s): David S. Billet, Anthony Michael Sabino, Robert W. Kenter
Hearing Site: New York, NY
| | $232,000 |
| 08-02695 | 04/20/2010 | Claimant(s): Gaedeke Holdings II, Ltd., Gaedeke Holdings III, Gaedeke Holdings
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Stifel, Nicolaus & Co.., Century Securities Associates.
Respondent Lawyers(s): Carrie Bechtold
Arbitrator(s): Jeff Abrams, Bill H. Brister, Rosemary Rachael
Hearing Site: Dallas, TX
| | $0 |
| 09-05803 | 04/20/2010 | Claimant(s): Winona State University Foundation
Claimant Lawyers(s): Kent A. Gernander
Respondent(s): Brian Thurow, Edward Jones
Respondent Lawyers(s): Jonathan M. Harris
Arbitrator(s): Jerry M. Helfand, Natalie A. Roberts, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 09-00909 | 04/19/2010 | Claimant(s): Jere Planck, Mary Planck, Jere W. and Mary C. Planck Family Trust
Claimant Lawyers(s): Maura K. McKelvey
Respondent(s): UBS Financial Services Inc., Scott Miller
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Gary L. Freeman, Jerome K. Altshuler, Richard D. Fincher
Hearing Site: Phoenix, AZ
| | Expungement |
| 09-04164 | 04/19/2010 | Claimant(s): Laura Loudamy
Claimant Lawyers(s): Laura Loudamy
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): George A. Sellnau
Hearing Site: Houston, TX
| | $6,475 |
