10-01925 | 12/21/2011 | Claimant(s): Morgan Keegan & Company. Claimant Lawyers(s): William G. Whitman Respondent(s): John Wilfong Respondent Lawyers(s): Caroline Smith Gidiere Arbitrator(s): Sterling N. Frost, John W. Parker, Robert Paul Rathbun Hearing Site: Memphis, TN
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09-05539 | 11/18/2011 | Claimant(s): Cindy Bridges-Ross Claimant Lawyers(s): Tanya Sacks Respondent(s): Alison Konop, David Tuebner, Citigroup Global Markets., Iwona Legge Respondent Lawyers(s): Adam Kauff Arbitrator(s): Nicholas J. Caputo, James N. D'Orso, Sterling N. Frost Hearing Site: San Francisco, CA
| | $0 |
08-01388 | 01/31/2011 | Claimant(s): Deborah Herman, Frederick Herman Claimant Lawyers(s): Frederick Herman Respondent(s): Colleen Langs, Charles Schwab & Co.., Marcia Novick Respondent Lawyers(s): Garrett Wynne Arbitrator(s): Laurel Littman Gothelf, Thomas H. O'Connor, Sterling N. Frost Hearing Site: San Francisco, CA
| | Expungement |
09-05875 | 11/08/2010 | Claimant(s): Anna Wang, Hongwei Ma Claimant Lawyers(s): Chester Hayes, John C. Gorman Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Sterling N. Frost, Jeffrey M. Allen, Robert M. Greber Hearing Site: San Francisco, CA
| | $94,800 |
09-01865 | 09/02/2010 | Claimant(s): Donald Morrow Claimant Lawyers(s): Lawrence W. Miles Respondent(s): Wedbush Securities Inc., Lisa Gallo Respondent Lawyers(s): Charles LaChaussee Arbitrator(s): Richard B. Bullock, Sterling N. Frost, Jeffrey M. Allen Hearing Site: San Francisco, CA
| | $108,000 |
10-00070 | 07/15/2010 | Claimant(s): Alvin M. Coppersmith, IRA Account, Alvin M. and Linda Coppersmith Per/Acct, Alvin M. Coppersmith Keogh Account Claimant Lawyers(s): Alvin M. Coppersmith Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Richard A. Karoly Arbitrator(s): Sterling N. Frost Hearing Site: San Francisco, CA
| | $0 |
09-01477 | 06/29/2010 | Claimant(s): Intevac. Claimant Lawyers(s): Robert L. Schnell Respondent(s): Citigroup Global Markets., Citigroup Inc. Respondent Lawyers(s): Julie A. Kole Arbitrator(s): Gary A. Hooker, Sterling N. Frost, Gail Killefer Hearing Site: San Francisco, CA
| | Auction Rate Securities related |
09-00812 | 06/18/2010 | Claimant(s): Ayida Mohamed and Ibrahim Alwareeth Claimant Lawyers(s): Ibrahim A Alwareeth Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Sterling N. Frost, John B. Weingart, Nancy A. Yonge Hearing Site: San Francisco, CA
| | $0 |
08-00527 | 12/21/2009 | Claimant(s): David Lehrer, Dennis Contrestano, Jack Swenson, Michael Luby, Michael Patterson, Michael Swenson, Patrick Howell, Stephen Hird Claimant Lawyers(s): Amanda M. Knudsen Respondent(s): Piper Jaffray & Co., Piper Jaffray Companies Respondent Lawyers(s): Julie A. Kole Arbitrator(s): Thomas C. McNally, Sterling N. Frost, Jerold R. Babin Hearing Site: San Francisco, CA
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03-02127 | 11/02/2007 | Claimant(s): William F. Garland Claimant Lawyers(s): James Jay Seltzer Respondent(s): Dale Low, Eric Salz, Charles Schwab & Co.., Samuel Berger, SDR Capital Management. Respondent Lawyers(s): Brian A. Carlis, Richard A. Karoly Arbitrator(s): Sterling N. Frost, Peter Kassel, Bradley C. Mitchell Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |