| 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
| | |
| 09-05471 | 10/21/2010 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): John Farrell
Respondent(s): Kristian Colvin
Respondent Lawyers(s): Jenny K. Goodman
Arbitrator(s): Lisa M. Roth, Janice L. Sperow, Sally G. Williams
Hearing Site: San Diego, CA
| | |
| 09-00492 | 09/30/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Avelino Cortina
Respondent Lawyers(s): Dana Robinson
Arbitrator(s): Fred T. Kallet, James D. Knotter, Katherine Jane Morris
Hearing Site: San Diego, CA
| | |
| 09-05381 | 09/29/2010 | Claimant(s): Iris Berger, Iris Victor Trust DTD 8/16/91
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): Donahue Jones, Ralph Schneider, Okoboji Financial Services.
Respondent Lawyers(s): Donahue Edwin Jones, Ralph Roberts Schneider, Ralph Stacey Schneider
Arbitrator(s): Jerome M. Libenson, Kenneth Andrew Klinko, Richard E. Mueller
Hearing Site: San Diego, CA
| | $359,590 |
| 09-05650 | 09/20/2010 | Claimant(s): Martha Campbell, Martha C. Campbell Rollover IRA
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Kevin Williams, Asset Management Strategies, North Global Securities., North Wealth Management Company
Respondent Lawyers(s): A. Kipp Williams, Kevin A. Williams
Arbitrator(s): Lester G. Stiel, John Goodrich, Daniel A. Seiver
Hearing Site: San Diego, CA
| | $641,050 |
| 09-04990 | 08/27/2010 | Claimant(s): John Ramey, Madrugada LP # 2, Ramey Company Profit Sharing DTD 1/4/01
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): J Duckworth, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Robert A. Yates, Ronald O. Bub, James J. Dobbin
Hearing Site: San Diego, CA
| | Expungement |
| 09-01560 | 08/20/2010 | Claimant(s): Peter Chiang
Claimant Lawyers(s): Neda Ataie
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer Lynn Nutter
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 09-06977 | 07/20/2010 | Claimant(s): Joseph Reddy, Joseph Reddy M.D..
Claimant Lawyers(s): John W. Davis
Respondent(s): William Alexander
Respondent Lawyers(s): William W. Alexander
Arbitrator(s): Stephen R. Clark
Hearing Site: San Diego, CA
| | $1,292,700 |
| 09-03974 | 05/28/2010 | Claimant(s): Morgan Stanley Smith Barney
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): William Bettis
Respondent Lawyers(s): William Jonathan Bettis
Arbitrator(s): James H. Bowersox
Hearing Site: San Diego, CA
| | |
