08-00455 | 06/01/2009 | Claimant(s): David L. Woods and Twila R. Woods, Ttees Claimant Lawyers(s): K. Layne Morrill Respondent(s): Raymond Johnson, WFG Investments. Respondent Lawyers(s): Bradley J. Stevens, Paul J. Roshka Arbitrator(s): Philip B. Whitaker, Richard L. Merkel, Jeffrey Charles Young Hearing Site: Phoenix, AZ
| | $2,950,000 |
08-01846 | 06/01/2009 | Claimant(s): Janet Laird Claimant Lawyers(s): H Thomas Fehn Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Michael M. Gless Arbitrator(s): Ernest L. Burnside, George L. Tindall, Daniel R. Brush Hearing Site: Los Angeles, CA
| | $0 |
07-03377 | 05/29/2009 | Claimant(s): Antonio Gonzalez Claimant Lawyers(s): Antonio M. Gonzalez Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Mai P. Klaassen Arbitrator(s): Larry Edmonson Hearing Site: Los Angeles, CA
| | $0 |
08-02118 | 05/29/2009 | Claimant(s): Gary L. Wilhelm, IRA Claimant Lawyers(s): Michael S. MacDonald Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Kelly J. Moynihan Arbitrator(s): Frederick Ramos Hearing Site: Minneapolis, MN
| | $14,570 |
08-03042 | 05/29/2009 | Claimant(s): J. Ross, Richard Ross Claimant Lawyers(s): Jeffrey S. Evans Respondent(s): Chris Erlewine, Curtis Ritter, E*Trade Securities LLC, Rod Webb Respondent Lawyers(s): John Bersin, Lonnie L. Simpson Arbitrator(s): Mark A. Myers, Robert E. Graves, Jeff A. Weill Hearing Site: Jackson, MS
| | Stipulated Award and Expungement |
08-00029 | 05/29/2009 | Claimant(s): Craig Roberts, Pennie Roberts, Pennie L. Roberts Rev. Trust Claimant Lawyers(s): A. Brian McIntosh Respondent(s): Wachovia Securities, Patrick Sowers, Scottrade. Respondent Lawyers(s): Andrew C. Small, Brent J. Burtin Arbitrator(s): W. Pat Conners, John S. Weisheit, Edmund P. Pultinas Hearing Site: Cincinnati, OH
| | $0 |
08-03052 | 05/29/2009 | Claimant(s): Thomas Cusack Claimant Lawyers(s): John P. Connolly Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Gordon C. Young Arbitrator(s): Mary E. Woytek, Michael H. McConihe, Wilson Thompson Hearing Site: Washington, DC
| | $0 |
08-03651 | 05/28/2009 | Claimant(s): Joseph Gorman Claimant Lawyers(s): Randall C. Place Respondent(s): Morgan Stanley & Co., Mary Meeker Respondent Lawyers(s): Jason E. Fedo Arbitrator(s): Mark C. Perry, George G. Kurschner, Bruce M. Alster Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12504 |
09-00173 | 05/28/2009 | Claimant(s): Fred Yoshida Trustee of the Yoshida Trus Claimant Lawyers(s): Fred Yoshida Respondent(s): Dustin Buck, Edward Jones Respondent Lawyers(s): Dennis J. Capriglione Arbitrator(s): Edwin C. Shiver Hearing Site: San Francisco, CA
| | $0 |
07-02044 | 05/27/2009 | Claimant(s): Illan Kim, Jin Cha, Jun Kwon, Sang Kim, Paper Design Clothing., Chong Cha SEP IRA, Charles and Sara Cho, Jin O. Cha and Illan Kim, Terry and Chong M. Cha, Won P. Yim and Chong S. Yim Claimant Lawyers(s): Marc I. Zussman Respondent(s): E1 Asset Management. Respondent Lawyers(s): Edward J. Boyle Arbitrator(s): James P. Murphy, Susan B. Gans-Smith, Constance Ellen Boukidis Hearing Site: Los Angeles, CA
| | $2,702,600 |