| 10-02457 | 10/19/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Matthew Pulsipher
Respondent Lawyers(s): Matthew James Pulsipher
Arbitrator(s): Dean J. Dietrich
Hearing Site: Portland, OR
| | |
| 09-04336 | 10/12/2010 | Claimant(s): Geraldine Bell
Claimant Lawyers(s): Geraldine L. Bell
Respondent(s): James Rudwall, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Alvin L. Fishman, Gary Timothy Haight, Dean J. Dietrich
Hearing Site: San Francisco, CA
|  | $0 |
| 09-01933 | 07/02/2010 | Claimant(s): Andre Hawit
Claimant Lawyers(s): Andre Hawit
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): A. J. Borrelli
Arbitrator(s): Joan N. Mensinger, James N. D'Orso, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 08-01325 | 08/28/2009 | Claimant(s): Olivia Herman
Claimant Lawyers(s): Frederick Herman
Respondent(s): Colleen Langs, Charles Schwab & Co.., Marcia Novick
Respondent Lawyers(s): Cameron Stout
Arbitrator(s): Carlos Richard Mangum, James N. D'Orso, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 08-01002 | 05/20/2009 | Claimant(s): The Estate of Mary A. Musil
Claimant Lawyers(s): Richard A. Kutche
Respondent(s): Wachovia Securities, A.G. Edwards & Sons., Prudential Equity Group
Respondent Lawyers(s): James C. Browning, Kenneth Fuchs
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $36,717 |
| 08-00641 | 09/03/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A Karoly
Respondent(s): Donald Newman, New Man.
Respondent Lawyers(s): Donald E. Newman
Arbitrator(s): Laurel Littman Gothelf, William A. Husa, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | |
| 07-03204 | 05/14/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Ronald Ash
Respondent Lawyers(s): Ronald Ash
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | |
| 07-03189 | 05/06/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Michael Conrad
Respondent Lawyers(s): Michael Conrad
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | |
| 07-00688 | 04/15/2008 | Claimant(s): Carl Spradlin, Joy Spradlin, Carl Spradlin RO IRA, Joy Spradlin RO IRA, Spradlin Living Trust DTD 4/2/01
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Associated Securities Corp.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Douglas E. DeTata, Dean J. Dietrich, James Philip Barber
Hearing Site: Reno, NV
| | $0 |
| 06-00618 | 12/17/2007 | Claimant(s): Steven Thompson
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Thomas D. Reese, Dean J. Dietrich, Steven K. McGinnis
Hearing Site: San Francisco, CA
| | $0 |
