| 06-04407 | 06/03/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): David H. Smith
Respondent(s): David Bryant
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Donald T. Meder, Dorothy B. Strackbein, Robert Elman
Hearing Site: Los Angeles, CA
| | |
| 08-01846 | 06/01/2009 | Claimant(s): Janet Laird
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Ernest L. Burnside, George L. Tindall, Daniel R. Brush
Hearing Site: Los Angeles, CA
|  | $0 |
| 07-03377 | 05/29/2009 | Claimant(s): Antonio Gonzalez
Claimant Lawyers(s): Antonio M. Gonzalez
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mai P. Klaassen
Arbitrator(s): Larry Edmonson
Hearing Site: Los Angeles, CA
| | $0 |
| 07-02044 | 05/27/2009 | Claimant(s): Illan Kim, Jin Cha, Jun Kwon, Sang Kim, Paper Design Clothing., Chong Cha SEP IRA, Charles and Sara Cho, Jin O. Cha and Illan Kim, Terry and Chong M. Cha, Won P. Yim and Chong S. Yim
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): E1 Asset Management.
Respondent Lawyers(s): Edward J. Boyle
Arbitrator(s): James P. Murphy, Susan B. Gans-Smith, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $2,702,600 |
| 08-03125 | 05/22/2009 | Claimant(s): Joel W. Carter, IRA, Louise Carter, TTEE for Carter Family
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | $5,825 |
| 08-02353 | 05/13/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Steven W. Brennan
Respondent(s): John Marrone
Respondent Lawyers(s): John Anthony Marrone
Arbitrator(s): Jeffrey E. Skogsbergh, Gerald C. Tambe, Edward Banian
Hearing Site: Los Angeles, CA
| | |
| 08-01409 | 05/12/2009 | Claimant(s): Marina Pacific Associates
Claimant Lawyers(s): Peter J. Most
Respondent(s): Wells Fargo Brokerage Services, Wells Fargo Institutional Securities, LL
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Andrew M. Mintzer, George Frederick Garris, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04081 | 05/08/2009 | Claimant(s): Robert Mendoza
Claimant Lawyers(s): Robert Mendoza
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
| | $2,377 |
| 08-01876 | 05/08/2009 | Claimant(s): Jean Ibrahim
Claimant Lawyers(s): Jean Ibrahim
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Bert Levy, Christine A. Page, Daniel David Kopman
Hearing Site: Los Angeles, CA
| | $0 |
| 08-03633 | 05/05/2009 | Claimant(s): Dio Javier
Claimant Lawyers(s): Dio B Javier
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): A. Joel Klein
Hearing Site: Los Angeles, CA
| | $3,615 |
