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 |