| 09-04737 | 02/11/2010 | Claimant(s): Joy Deschaine, IRA
Claimant Lawyers(s): Joy Deschaine
Respondent(s): UBS Financial Services Inc., Richard Bernstein
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
|  | $0 |
| 09-02752 | 12/03/2009 | Claimant(s): David T. Guyton, Jr., IRA, David Guyton, Jr. , TTEE Guyton Family T
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | $15,787 |
| 08-00672 | 12/02/2009 | Claimant(s): Dan Camphausen, Edmund Templeton, Gerald Tahtinen, Larry Myhre, OADS, INC., Heidi Sparacino, IRA, Judith Meyers, Bartlett and Doris Richards, Dennis and Heidi Sparacino, Bonnie Meyers, Indiv & as Trustee of, Shirely Wong Profit Sharing Trust, The Gerald and Mary Dassow Trust
Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Thomas P. Yardley
Arbitrator(s): Ralph M. Goren, Theodore L. Leeb, Craig D. Cook
Hearing Site: Chicago, IL
| | $174,766 |
| 08-00674 | 12/02/2009 | Claimant(s): Alma F. Hollingsworth, IRA, Paul Hollingsworth, Paul and Alma F. Hollingsworth, Trustees
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company., Regions Financial Corporation
Respondent Lawyers(s): Michael R. Robinson
Arbitrator(s): David W. Stanton, Belinda M. Ohlinger, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
| | $57,882 |
| 08-03431 | 10/23/2009 | Claimant(s): Henrietta Costa IRA (Roll Over), John T. Costa, IRA
Claimant Lawyers(s): George L. Mahr
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): John Castelly
Arbitrator(s): Maria D. Cirillo, Thomas M. Crawford, Stanley M. Lenkowicz
Hearing Site: Newark, NJ
| | $8,342 |
| 07-03322 | 10/05/2009 | Claimant(s): Brenda K. Gaidmore, IRA, Gerald P. Gaidmore
Claimant Lawyers(s): Gerald P. Gaidmore
Respondent(s): A.G. Edwards & Sons., Paul Bedinger, Richard Iannacone
Respondent Lawyers(s): Damian J. Betz
Arbitrator(s): Brian J. Dunn, Michael Dell'Olio, Joseph Charles Kennedy
Hearing Site: Manchester, NH
| | $0 |
| 08-04585 | 08/06/2009 | Claimant(s): Harold Kozupsky, Jeanette Kozupsky, Harold and Jeanette Kozupsky, IRA, Harold Kozupsky and Jeanette Kozupsky
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): George Gladman, Ronald Slevin, RBC Dain Raucher
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): John F. Duane, Alvin Green, James D. Yellen
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 06-05107 | 07/28/2009 | Claimant(s): Thomas Powell, Thomas L. Powell, IRA
Claimant Lawyers(s): Donald M. Feferman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): J. Jackson
Arbitrator(s): Robert E. Robertson, Lawrence R. Commers, Arthur Richard Tow
Hearing Site: Minneapolis, MN
| | $0 |
| 09-01199 | 07/24/2009 | Claimant(s): Dennis Turman, Dennis Roger Turman, IRA
Claimant Lawyers(s): J. Boyd Page
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A Christensen
Arbitrator(s): Joe Carroll Thomas
Hearing Site: Charlotte, NC
| | $8,673 |
| 08-04802 | 07/21/2009 | Claimant(s): Jean Francis Schirard, IRA, Jean & Joseph Schirard and Lisa Buchanan
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | $0 |
