| 08-01298 | 10/02/2009 | Claimant(s): Helen DeCarlo
Claimant Lawyers(s): Mark S. Guralnick
Respondent(s): Ameriprise Financial Services., Mark Marshall, Tom Romanac
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Christopher M. Shulman, Paul A. Holmes, Alan E. Linden
Hearing Site: Orlando, FL
|  | Stipulated Award and Expungement |
| 08-02173 | 10/02/2009 | Claimant(s): Laurence Rivkin, the IRA Rollver, LNR Family Trust dtd 08/02/1987
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management Inc, The Charles Schwab Corporation
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Judith A. Gust, Steven A. Fox, Michael D. Briggs
Hearing Site: San Diego, CA
| | $327,245 |
| 08-02988 | 10/02/2009 | Claimant(s): Shirley Jeup, Shirley A. Jeup IRA
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): Scott Spencer, Spencer International Advisors.
Respondent Lawyers(s): Jeffrey W. Gibson
Arbitrator(s): Norman L. Reiter, Michael D. Hamilton, Papan Devnani
Hearing Site: Clearwater, FL
| | $205,780 |
| 08-03733 | 10/02/2009 | Claimant(s): Sharon Schoenfeld
Claimant Lawyers(s): Lisa Welch Stevens
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): S. Lee Terry, Martha Jeanne Wilcoxson, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
| | $0 |
| 08-03348 | 10/01/2009 | Claimant(s): Matthew Proman
Claimant Lawyers(s): Randy Scott Zelin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert E. Holley, Frank J. Spencer
Hearing Site: New York, NY
| | $15,925 |
| 09-01567 | 10/01/2009 | Claimant(s): Balasubramanian Ganesh, Bhuvaneswan Basubramanian
Claimant Lawyers(s): Balasubramanian Ganesh
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Nikole Crosby
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | $2,287 |
| 08-02552 | 09/30/2009 | Claimant(s): Bruce M. Eliot and Denise O. Eliot
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Philip W. Burge, Richard J. Stall, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | $96,300 |
| 08-03716 | 09/30/2009 | Claimant(s): Joseph Billera, JOGLO Associates
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David C. Franceski
Arbitrator(s): Monroe Mitchel, Will Murphy, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | $250,000 |
| 09-00766 | 09/30/2009 | Claimant(s): Michael Sprei
Claimant Lawyers(s): Michael Sprei
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $1,473 |
| 09-01811 | 09/30/2009 | Claimant(s): Sarah Carter
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harper Fertig
Arbitrator(s): June White Dillard
Hearing Site: Washington, DC
| | $22,206 |
