| 10-00357 | 05/05/2011 | Claimant(s): Dennis W. Tibbs, IRA, QRP, Patricia A. Tibbs, Dennis W. and Patricia A. Tibbs, Jt Ten
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Brian E. Bro, Martin Samuel Altimore
Hearing Site: Houston, TX
|  | Expungement |
| 09-01937 | 08/16/2010 | Claimant(s): Rina Schwarz, Rina Schwarz Revocable 1996 Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Dusan Zachystal, Individual Asset Management, Interactive Brokers LLC
Respondent Lawyers(s): Derek C. Anderson, Jeffrey D. Fox
Arbitrator(s): Arthur T. Berggren, Mark A. Karpe, Arthur Alef
Hearing Site: Los Angeles, CA
| | $0 |
| 09-03937 | 06/25/2010 | Claimant(s): Harry Salzman
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Florence Klein, American Classic Financial Company
Respondent Lawyers(s): Philip W. Bledsoe
Arbitrator(s): Malcolm T. Cleland, Gene R. Thornton, Luis D. Rovira
Hearing Site: Denver, CO
| | $103,500 |
| 07-03126 | 09/04/2009 | Claimant(s): Jerry Maye, Rita Maye
Claimant Lawyers(s): Rita H. Maye
Respondent(s): Mark Gandossy, Legacy Financial Services.
Respondent Lawyers(s): Derek C. Anderson, Michael J. Ernst
Arbitrator(s): Zeb E. Barnhardt, M. Bruce Adelberg, Robert S. Zuckerman
Hearing Site: Charlotte, NC
| | Settlement |
| 08-01694 | 05/22/2009 | Claimant(s): Gregory Glenn
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Amy Melner, UBS Financial Services Inc., Lisa Cregan
Respondent Lawyers(s): Tracy A. Miller
Arbitrator(s): Daniel J. Lind, Eugene R. Nielson, Edwin J. Buckley
Hearing Site: Phoenix, AZ
| | |
| 08-02895 | 04/30/2009 | Claimant(s): Mark Moran
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jerry M. Santangelo
Arbitrator(s): George N. Roy, Thomas P. Delnoce, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | |
| 08-00346 | 02/23/2009 | Claimant(s): Robert Drake
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Felicity A. Fowler
Arbitrator(s): James R. Augustine, W. Merrill Glasgow, Richard F. Dole
Hearing Site: Houston, TX
| | |
| 08-00532 | 01/15/2009 | Claimant(s): Branch Avenue Plaza, L.P.
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Gary Ackerman, United Securities Alliance.
Respondent Lawyers(s): Brenda Neel Hight, Derek C. Anderson
Arbitrator(s): Glenn H. Catalano, Charles Mitchell Conover, Carl F. Bowmer
Hearing Site: Richmond, VA
| | $0 |
| 07-01262 | 04/02/2008 | Claimant(s): Kurt Rogers, Sharon Rogers
Claimant Lawyers(s): William F. Brattain
Respondent(s): Floyd Shilanski, Rosa Shilanski, Shilanski & Asssociates., Summit Brokerage Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Philip E. Cutler, Kim D. Stephens, Julie Eileen Gay
Hearing Site: Anchorage, AK
| | Dismissed by Rule 12206 |
| 07-00970 | 02/15/2008 | Claimant(s): Kevin Doss
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Roger W. Van Deusen, James A. Laurenson, Blanca E. Ortiz
Hearing Site: Cleveland, OH
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