| 10-01060 | 03/02/2011 | Claimant(s): Joe Bazzell
Claimant Lawyers(s): Joe M. Bazzell
Respondent(s): Sammons Securities Company
Respondent Lawyers(s): Janene M. Marasciullo
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | |
| 09-03930 | 03/01/2011 | Claimant(s): Jesse Gomez
Claimant Lawyers(s): Stephen F. Henry
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David S. Markun
Arbitrator(s): E. Duane Stephens, William Michael Samsel, John C McGourty
Hearing Site: San Francisco, CA
| | |
| 10-02474 | 03/01/2011 | Claimant(s): Raifman Family Rev Intel Trust
Claimant Lawyers(s): Brian G. Isaacson
Respondent(s): Wachovia Securities, George Gordon
Respondent Lawyers(s): David A. Picon, Ronald E. Wood
Arbitrator(s): Mary Curran, Frank R Weaver, Nancy Hutt
Hearing Site: San Francisco, CA
|  | $0 |
| 10-03575 | 02/25/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Abe Lampart
Respondent(s): Larry Galia
Respondent Lawyers(s): Larry Allen Galia
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | |
| 10-04089 | 02/25/2011 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Luis Morales
Respondent Lawyers(s): Luis Emilio Morales
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
| | |
| 09-07063 | 02/24/2011 | Claimant(s): A. Welch, Patrick Curry
Claimant Lawyers(s): A. Walden Welch
Respondent(s): Jason Seale, Jerome Borzello, Raymond, James & Associates., American Wealth Management.
Respondent Lawyers(s): Erin Linehan, Steven Sherman
Arbitrator(s): Jonathan Holman Hathaway, George T. Fleming, Harvey M. Baraban
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 10-00578 | 02/24/2011 | Claimant(s): Linda Soltis
Claimant Lawyers(s): Linda Soltis
Respondent(s): Ben Szeto, Chase Investment Services Corp.
Respondent Lawyers(s): Bradley J. Johnson
Arbitrator(s): Sheldon Michaels
Hearing Site: San Francisco, CA
| | $43,923 |
| 10-03610 | 02/22/2011 | Claimant(s): David Fanella
Claimant Lawyers(s): David Fanella
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $10,425 |
| 09-02892 | 02/18/2011 | Claimant(s): Keith Cohn, Keith Cohn Rollover IRA Trust
Claimant Lawyers(s): Philip Borowsky
Respondent(s): AllianceBernstein L.P., Sanford C. Bernstein & Co., LC
Respondent Lawyers(s): Tommaso Bencivenga
Arbitrator(s): Alvin L. Fishman, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | $553,333 |
| 10-03000 | 02/17/2011 | Claimant(s): Edith Robertson, Glen Robertson, John Sorensen, Sheri Lewis-Sorensen, Susan Robertson
Claimant Lawyers(s): Matthew K. Edling
Respondent(s): Securities America.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): John J. Flynn, Thomas D. Reese, Mary H. Evans
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504 |
