| 09-06892 | 05/24/2010 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Derek C Anderson
Respondent(s): Robert Mayfield
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): William J. Petzel
Hearing Site: San Francisco, CA
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| 08-01531 | 05/21/2010 | Claimant(s): Melvin McDonald, Vincent Scola
Claimant Lawyers(s): Katharine Livingston
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Martin Mandel, Darryl J. Horowitt, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
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| 09-04146 | 05/19/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Gordon Lewis
Respondent Lawyers(s): Gordon Patrick Lewis
Arbitrator(s): Mary Curran, Alvin L. Fishman, E. Duane Stephens
Hearing Site: San Francisco, CA
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| 07-02954 | 05/07/2010 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Jack Ballard
Respondent(s): Wachovia Securities, Stifel, Nicolaus & Co.., Gene Diedrich, Michael Nielsen
Respondent Lawyers(s): Andrew J. Shapren, Jack Ballard, Kenneth C. Mennemeier, Kristina L. Cashion
Arbitrator(s): Helen Marinak Blohm, Mark R. Palmer, M. Scott Donahey
Hearing Site: San Francisco, CA
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| 09-00408 | 04/23/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Xin Li
Respondent Lawyers(s): Albert L. Boasberg
Arbitrator(s): John Patrick Kelly, John J. Fitzpatrick, James Conrad Riewerts
Hearing Site: San Francisco, CA
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| 09-00722 | 04/23/2010 | Claimant(s): White Pacific Securities.
Claimant Lawyers(s): Christopher Mader
Respondent(s): Spartan Securities Group, LTD
Respondent Lawyers(s): Elizabeth Campbell
Arbitrator(s): Nicholas J. Caputo, Mary Curran, Peter Anthony Sigal
Hearing Site: San Francisco, CA
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| 08-03904 | 04/20/2010 | Claimant(s): Kathleen Pomeroy, The Marital Deduction Trust, The Pomeroy Bypass Trust, The Pomeroy Family Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Jane Bradley, William A. Husa, Mary Margaret Bush
Hearing Site: San Francisco, CA
|  | $768,944 |
| 08-02851 | 04/15/2010 | Claimant(s): John Doerner
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Clifford Gamble, Gibbs Brown, Joseph Vassallo, Leland Prussia, Linda Sechser, Richard Boone, Scott Hultsman, Timothy Menezes, EPlanning Securities.
Respondent Lawyers(s): Clifford N. Gamble, Gibbs W. Brown, Joseph J. Ehrlich, Linda M. Sechser, Richard E. Boone, Scott Hultsman
Arbitrator(s): William W. Haskell, Dennis W. Yan, Sean B. Meehan
Hearing Site: San Francisco, CA
| | Expungement |
| 08-00303 | 04/07/2010 | Claimant(s): Hansueli Overturf
Claimant Lawyers(s): Timothy A Canning
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): Helen Marinak Blohm, Ralph A. Cotton, Osei J Adoma
Hearing Site: San Francisco, CA
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| 08-02012 | 04/07/2010 | Claimant(s): Alva Thaning
Claimant Lawyers(s): James C. Bridgman
Respondent(s): UBS Financial Services Inc., UBS/Paine Webber, UBS/Paine Webber Partner's Plus
Respondent Lawyers(s): Walter M. Stella
Arbitrator(s): Herb Schwartz, Paul D. Gutierrez, M. Scott Donahey
Hearing Site: San Francisco, CA
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