| 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 |
