| 09-03670 | 07/22/2011 | Claimant(s): Robert Banks, Vita Banks, Robert R. Banks IRA, Vita Banks IRA
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James P. Delphey
Arbitrator(s): Jo-Ann C. Little, Judith A. Gust, Sally G. Williams
Hearing Site: San Diego, CA
|  | Expungement |
| 09-02239 | 11/16/2010 | Claimant(s): Aldrich Fernandez
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Judith A. Gust, Robert John Wagener, E. Milton Frosburg
Hearing Site: San Diego, CA
| | $0 |
| 09-00755 | 04/09/2010 | Claimant(s): Gene Gasselle
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Schulze
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Judith A. Gust, Cynthia B. Stone, John Scott Carter
Hearing Site: San Diego, CA
| | $0 |
| 08-00273 | 11/25/2009 | Claimant(s): Edmund Gann, Edmund A. Gann Trustee
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Andrew Geller, James Shelburne, UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb, Payne L. Templeton
Arbitrator(s): Judith A. Gust, Robert L. Levin, Joseph T. Donnantuoni
Hearing Site: San Diego, CA
| | $60,000 |
| 08-02173 | 10/02/2009 | Claimant(s): Laurence Rivkin, the IRA Rollver, LNR Family Trust dtd 08/02/1987
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management Inc, The Charles Schwab Corporation
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Judith A. Gust, Steven A. Fox, Michael D. Briggs
Hearing Site: San Diego, CA
| | $327,245 |
