| 09-00017 | 05/27/2011 | Claimant(s): Gerard Balian
Claimant Lawyers(s): Gerard Balian
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Edward A. Trabin, Edward Banian, Steven A. Wawra
Hearing Site: Los Angeles, CA
|  | $4,300 |
| 11-00224 | 05/26/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Marc Frankel
Respondent Lawyers(s): Marc J. Frankel
Arbitrator(s): Donald S. Simons
Hearing Site: Los Angeles, CA
| | |
| 10-02766 | 05/24/2011 | Claimant(s): Brent Richtsmeier
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Jack Kalisz, National Securities Corporation, Joseph Stevens & Co..
Respondent Lawyers(s): Josepha Sorbara, Mark Roth
Arbitrator(s): Annette Gres Shepherd, Robert E. Jenks, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-04660 | 05/24/2011 | Claimant(s): John and Roneale(Sue) Ports
Claimant Lawyers(s): John Ports
Respondent(s): Richard Clarke
Respondent Lawyers(s): Richard Lionel Clarke
Arbitrator(s): A. Joel Klein, Harris J. Howard, Barton J. Brewer
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04643 | 05/23/2011 | Claimant(s): Janbaz Sidiqi
Claimant Lawyers(s): Janbaz Sidiqi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $88 |
| 10-01147 | 05/17/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Gregg Whelan
Respondent Lawyers(s): Gregg Whelan
Arbitrator(s): Martin Perlberger
Hearing Site: Los Angeles, CA
| | |
| 09-02990 | 05/17/2011 | Claimant(s): Sharon Metsch, Stephen Metsch
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Clifford Gamble, Linda Sechser, Scott Hultsman
Respondent Lawyers(s): Benjamin W. White, Linda Sechser, Scott Hultsman
Arbitrator(s): Arthur T. Berggren, Debra Brothers Self, Ara Kassabian
Hearing Site: Los Angeles, CA
| | $127,106 |
| 10-02831 | 05/13/2011 | Claimant(s): Richard Schreiber, Richard E. Schreiber IRA, Richard E. Schreiber Retirement Trust
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management, In, The Charles Schwab Corporation
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): David J. Anderson, Annette Gres Shepherd, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02919 | 05/10/2011 | Claimant(s): Brad A. Baggarly, SEP-IRA
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-04108 | 05/09/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Abe Lampart
Respondent(s): William Creedon
Respondent Lawyers(s): Michael Blumenfeld
Arbitrator(s): Alvin S. Milder, Cathleen M. Cobb, Bryan L. Herrmann
Hearing Site: Los Angeles, CA
| | |
