| 09-06496 | 06/17/2011 | Claimant(s): Metal Finishing Association of S. CA
Claimant Lawyers(s): William B. Young
Respondent(s): Wachovia Securities, Evergreen Investment Services.
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Robert D. Sussin, George L. Tindall, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
|  | Stipulated Award and Expungement |
| 10-02919 | 05/10/2011 | Claimant(s): Brad A. Baggarly, SEP-IRA
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-04698 | 09/17/2010 | Claimant(s): William Huhn Living Trust
Claimant Lawyers(s): William D. Huhn
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | $0 |
| 06-03849 | 07/10/2009 | Claimant(s): Barry Ross
Claimant Lawyers(s): Harvey R. Friedman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Herbert Leslie Greenberg, Michael W. Burnett, George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 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 |
| 08-01713 | 03/27/2009 | Claimant(s): Geoffrey Church
Claimant Lawyers(s): Dudley Muth
Respondent(s): James Alexander
Respondent Lawyers(s): James Alexander
Arbitrator(s): Richard J. Stall, George L. Tindall, Bryan L. Herrmann
Hearing Site: Los Angeles, CA
| | |
| 06-02058 | 08/14/2008 | Claimant(s): Jordan Alan, Ad. of Estate of Beth Schim
Claimant Lawyers(s): Mark E. Overland
Respondent(s): Brett Briggs, James Copping
Respondent Lawyers(s): Daniel D. Dydzak, Jeffrey S. Kob
Arbitrator(s): George L. Tindall, Kendall C. Reed, George Frederick Garris
Hearing Site: Los Angeles, CA
| | $12,645 |
