| 09-01823 | 02/15/2011 | Claimant(s): Allison Alley, Stephen Hoen
Claimant Lawyers(s): Robert L. Hill
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Mandel E. Himelstein, Janice L. Sperow, Thomas E. Mullen
Hearing Site: San Diego, CA
| | |
| 09-05471 | 10/21/2010 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): John Farrell
Respondent(s): Kristian Colvin
Respondent Lawyers(s): Jenny K. Goodman
Arbitrator(s): Lisa M. Roth, Janice L. Sperow, Sally G. Williams
Hearing Site: San Diego, CA
| | |
| 09-04172 | 01/21/2010 | Claimant(s): Mustafa Amanatullah
Claimant Lawyers(s): Mustafa I. Amanatullah
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Catherine C. Luth
Arbitrator(s): Janice L. Sperow
Hearing Site: San Diego, CA
|  | $31,575 |
| 08-01552 | 05/13/2009 | Claimant(s): Efficacy Biotech Master Fund Ltd
Claimant Lawyers(s): Andrew R. Dennington
Respondent(s): National Financial Services LLC, Fidelity Capital Markets Services
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Greta Glavis, John H. Knight, Janice L. Sperow
Hearing Site: San Diego, CA
| | $423,634 |
| 07-02329 | 03/25/2008 | Claimant(s): Dave Schutz
Claimant Lawyers(s): Steven M. Green
Respondent(s): Mark Gundy, A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Janice L. Sperow
Hearing Site: San Diego, CA
| | $425 |
