| 09-05925 | 01/20/2011 | Claimant(s): Thomas Matchner
Claimant Lawyers(s): Mary K. Wyman
Respondent(s): Mark Sibert, M-Cubed Consulting
Respondent Lawyers(s): Mark Sibert
Arbitrator(s): Harvey C. Flodin
Hearing Site: San Diego, CA
|  | Stipulated Award |
| 09-04866 | 01/07/2011 | Claimant(s): Patrick J. Rohan., Diane E. Rohan Profit Sharing Plan U/A, Patrick J. Rohan Pension Plan U/A dtd 3/, Patrick J. Rohan & Diane E. Rohan Trust, Patrick J. Rohan Trust
Claimant Lawyers(s): Christopher T. Vernon, Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Doris V. Knotter, James J. Dobbin, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | Expungement |
| 09-04471 | 12/20/2010 | Claimant(s): The Vallone Family 1985 Trust
Claimant Lawyers(s): Richard J. Annen,
Respondent(s): Wachovia Securities, Victor Koby
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Kelly A. Barker, Mandel E. Himelstein, Mary Elizabeth Geerdes
Hearing Site: San Diego, CA
| | $210,891 |
| 09-05801 | 12/06/2010 | Claimant(s): Robert Bridge
Claimant Lawyers(s): Steven M. Green
Respondent(s): John Elliott, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stephen Lau
Arbitrator(s): John C. Lees, Sally G. Williams, Robert Alan Merring
Hearing Site: San Diego, CA
| | $68,547 |
| 10-00631 | 11/23/2010 | Claimant(s): Thomas Trax
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Westfin Securities Corporation
Respondent Lawyers(s): Stephen M. Locko
Arbitrator(s): Franklin G. Allen, Patricia Mary Reilly, Jerome M. Libenson
Hearing Site: San Diego, CA
| | |
| 09-06925 | 11/16/2010 | Claimant(s): Joe Woods
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Ann Bond, Brady Foley
Respondent Lawyers(s): Daria Dub Carlson
Arbitrator(s): Nancy J. Spieczny, Thomas Erique DuVoisin, Brian William Heublein
Hearing Site: San Diego, CA
| | |
| 09-01782 | 11/16/2010 | Claimant(s): Joanne Tweed
Claimant Lawyers(s): Joanne Tweed
Respondent(s): UBS Financial Services Inc., Mark Swan
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Gunnar Thowsen, Guenter S. Cohn, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $0 |
| 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 |
| 09-04531 | 11/05/2010 | Claimant(s): Bonnie Shoultz
Claimant Lawyers(s): Julie McCawley-Self
Respondent(s): Christopher Kozo, Wachovia Securities, Joshua Billauer, Ralph Bryan, Robert Wolter
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Nancy J. Spieczny
Hearing Site: San Diego, CA
| | $0 |
| 10-01889 | 11/02/2010 | Claimant(s): Andrew Wasa, Henry Ferry
Claimant Lawyers(s): Pamela D. Ferry
Respondent(s): Securities America., Sandra Snyder
Respondent Lawyers(s): Kelly R. Davis
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
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