| 08-02689 | 09/03/2009 | Claimant(s): Victoria Williamson
Claimant Lawyers(s): Richard R. Malone
Respondent(s): Monica Malhoit, Prudential Equity Group
Respondent Lawyers(s): John J. Murphy, William R. Ahern
Arbitrator(s): Benjamin B. Segel, Marianne L. Simpson, Ralph A. Beard
Hearing Site: Cleveland, OH
|  | $0 |
| 09-01160 | 09/03/2009 | Claimant(s): Michael Schirk, Susan Van Gee
Claimant Lawyers(s): Samuel T. Brannan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Daniel E. Gulden
Hearing Site: Atlanta, GA
| | $213 |
| 08-00368 | 09/02/2009 | Claimant(s): Ahmad Ahmadian
Claimant Lawyers(s): Ahmad Ahmadian
Respondent(s): Calvin Mason, Wachovia Securities
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Bradford J. Lam, Leon C. Tupy, Robert M. Fusfeld
Hearing Site: Denver, CO
| | $0 |
| 09-01617 | 09/02/2009 | Claimant(s): Sarah Maseth
Claimant Lawyers(s): Sarah A Maseth
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Gordon B. Shneider
Hearing Site: Chicago, IL
| | $163 |
| 09-01777 | 09/02/2009 | Claimant(s): FBO MRK Rev. Trust by Myles Klein Ttte
Claimant Lawyers(s): Myles Klein
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Allen Kilik
Hearing Site: Boca Raton, FL
| | $0 |
| 08-01106 | 09/01/2009 | Claimant(s): Estate of Lowell D. Adams
Claimant Lawyers(s): Michael A. Caldwell
Respondent(s): Charles Wideman, Edward Jones
Respondent Lawyers(s): E. Linwood Gunn
Arbitrator(s): Lawrence M. Oberdank, Kenneth I. Daniels, David E. Morris
Hearing Site: Atlanta, GA
| | $8,748 |
| 09-00861 | 09/01/2009 | Claimant(s): Helen Howard
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Wells Fargo Investments, David Logsdon
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): William G. Binckes, Carol E. Weir, Kevin B. Naughten
Hearing Site: New York, NY
| | Expungement |
| 09-01081 | 09/01/2009 | Claimant(s): William Formon and Kimberly A. Formon
Claimant Lawyers(s): William Formon
Respondent(s): Charles Schwab, Evelyn Dilsaver, George Pereira, Charles Schwab & Co.., Randall Merk, Charles Schwab Investment Management, Schwab Investments., The Charles Schwab Corporation
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
| | $11,555 |
| 09-01242 | 09/01/2009 | Claimant(s): Edward Gaul
Claimant Lawyers(s): Edward Gaul
Respondent(s): Bruce Balkcom, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Stanley H. Labinger
Hearing Site: Providence, RI
| | $12,713 |
| 08-00285 | 08/31/2009 | Claimant(s): Guy Hirsch
Claimant Lawyers(s): George L. Thompson
Respondent(s): Kerry Campbell, First Asset Financial Inc.
Respondent Lawyers(s): Robert L. Wright
Arbitrator(s): Donald Vincent Enright, Russell H Hairston, James Douglas Haigh
Hearing Site: Dallas, TX
| | Stipulated Award |
