| 08-03250 | 07/08/2009 | Claimant(s): John F. Archer and Karin A. Archer JT
Claimant Lawyers(s): Richard H. Elliot
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Michael E. Rohde, Donald Vincent Enright, C. Sumpter Logan
Hearing Site: Dallas, TX
|  | $0 |
| 08-04206 | 07/08/2009 | Claimant(s): Marilyn Lea Brown
Claimant Lawyers(s): Marilyn Lea Brown
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Donald M. Macdonald
Hearing Site: Atlanta, GA
| | $0 |
| 09-00367 | 07/08/2009 | Claimant(s): Alan Gelband Co. Def. Contr. Pension Pla
Claimant Lawyers(s): Alan Gelband
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Edward G. Toptani
Hearing Site: New York, NY
| | $213 |
| 08-04235 | 07/06/2009 | Claimant(s): Joseph Messina
Claimant Lawyers(s): Joseph Messina
Respondent(s): Tradestation Securities.
Respondent Lawyers(s): Steven M. Greenbaum
Arbitrator(s): Herbert Branitsky
Hearing Site: Boca Raton, FL
| | $0 |
| 07-03530 | 07/01/2009 | Claimant(s): Leon Farber
Claimant Lawyers(s): Stuart Meissner
Respondent(s): Barry Kornfeld
Respondent Lawyers(s): Barry M. Kornfeld
Arbitrator(s): Carolyn A. Mann, Jettie K. Thomas, Mark J. Happe
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 08-02517 | 07/01/2009 | Claimant(s): Rosalin Rogers, George R. Joyce and Dorothy R. Joyce, Mark L. Thompson Trust
Claimant Lawyers(s): John Courtade
Respondent(s): United Securities Alliance.
Respondent Lawyers(s): Brenda N. Hight
Arbitrator(s): George H. Reeves, Suanne M. Parro, Federico C. Alvarez
Hearing Site: Denver, CO
| | $830,409 |
| 08-00086 | 06/30/2009 | Claimant(s): Peter Ramos and Karen Ramos
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Genworth Financial Securities Corporatio
Respondent Lawyers(s): Richard D. De Vita
Arbitrator(s): Alan Shaw, Philip Rachmelowitz, Stephen L. Lister
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 08-01722 | 06/30/2009 | Claimant(s): Rod Babbitt
Claimant Lawyers(s): Jan Graham
Respondent(s): America's Choice Equities
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Douglas Edwards, Ross W. Cannon, David M. Seidner
Hearing Site: Salt Lake City, UT
| | $100,000 |
| 09-00300 | 06/26/2009 | Claimant(s): David Cutler
Claimant Lawyers(s): David Harrison
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Paul Greenberg
Hearing Site: Washington, DC
| | $11,400 |
| 07-00245 | 06/26/2009 | Claimant(s): Charna Knepper, Laurence Knepper, Nancy Knepper
Claimant Lawyers(s): Robert R. Barton
Respondent(s): Andrew Garrett.
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Lonnie L. Cunningham, Murray S. Levin, Michael D. Fitzgerald
Hearing Site: Kansas City, MO
| | $0 |
