| 08-03899 | 12/02/2009 | Claimant(s): Kanella Sarros, Kanella V. Sarros 403B, Kanella V. Sarros Roth IRA, Sarros Family Trust dtd 10/03/2001
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Ruthe Gomez, Advisory Financial Consultants.
Respondent Lawyers(s): Christopher Mader
Arbitrator(s): Mitchell S. Ostwald, Benjamin Slomoff, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
|  | $73,606 |
| 08-04374 | 11/23/2009 | Claimant(s): Mark Steele
Claimant Lawyers(s): Keith Ehrman
Respondent(s): Thomas Weisel Partners LLC
Respondent Lawyers(s): Thomas P. Klein
Arbitrator(s): Andrew R. Epstein, James N. D'Orso, Peter H. Daly
Hearing Site: San Francisco, CA
| | |
| 09-02795 | 11/19/2009 | Claimant(s): Phyllis Mossman
Claimant Lawyers(s): Phyllis M. Mossman
Respondent(s): Wells Fargo Investments, Michael Hampton
Respondent Lawyers(s): Vanessa Hoffman
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | $213 |
| 08-00818 | 11/12/2009 | Claimant(s): Susan Ure
Claimant Lawyers(s): Susan Ure
Respondent(s): ING Financial Advisers, ING Life Insurance and Annuity Company
Respondent Lawyers(s): Michael E. Wilbur
Arbitrator(s): Mitchell S. Ostwald, Charles E. Farnsworth, Sharon Truluck Maier
Hearing Site: San Francisco, CA
| | |
| 08-01841 | 11/11/2009 | Claimant(s): Hilda Applbaum, Isaac Applbaum, The Applbaum Family Trust UAD 6/1/93
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Stone & Youngberg LLC
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Nicholas J. Caputo, David R. Finch, Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | $0 |
| 09-02983 | 11/06/2009 | Claimant(s): Marc Hanish
Claimant Lawyers(s): Marc Hanish
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | $0 |
| 08-03169 | 11/04/2009 | Claimant(s): Larry Martinez
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Arthur Aldatz, James Gallo, Jeffrey Greeney, Sean Harrison, Thomas Rubin, Troy Rasmusen, Westcap Securities.
Respondent Lawyers(s): Arthur Jess Aldatz, James Eugene Gallo, Thomas Seth Rubin
Arbitrator(s): William Ziering, Charles E. Farnsworth, Homer L. Davis
Hearing Site: San Francisco, CA
| | $87,760 |
| 09-02498 | 10/15/2009 | Claimant(s): The Gulesserian Living Trust
Claimant Lawyers(s): Ryan Gulesserian
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harper Fertig
Arbitrator(s): Laura Effel
Hearing Site: San Francisco, CA
| | $1,475 |
| 09-00167 | 09/28/2009 | Claimant(s): Betty Wilson
Claimant Lawyers(s): Betty Lou Wilson
Respondent(s): Dennis Goldstrand
Respondent Lawyers(s): Dennis Joseph Goldstrand
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 08-04701 | 09/23/2009 | Claimant(s): Paul Edwards
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Charles Schwab & Co.., Randall Merk, Rupesh Shah
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Ralph A. Cotton, Terry M Lloyd, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $25,000 |
