| 09-03394 | 05/26/2010 | Claimant(s): Thomas Logan
Claimant Lawyers(s): Kevin J Mirch
Respondent(s): Peter Sims, Toni Moninger, Lincoln Financial Distributors.
Respondent Lawyers(s): Grant P. Alexander
Arbitrator(s): Jeffrey L. Gaffney, James B. Guillou, Robert Alan Merring
Hearing Site: San Diego, CA
| | |
| 09-00314 | 04/29/2010 | Claimant(s): Michelle Iafrate, Robert Iafrate, RJ and MD Iafrate Family Trust
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Wachovia Securities, Robert Wolter
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Ronald O. Bub, Joseph T. Donnantuoni, Michael D. Briggs
Hearing Site: San Diego, CA
|  | $17,534 |
| 09-06124 | 04/26/2010 | Claimant(s): Richard Royce Palmer IRA
Claimant Lawyers(s): Richard Royce Palmer
Respondent(s): Carl Morrison, Edward Jones
Respondent Lawyers(s): Carl Kirby Morrison, Dennis J. Capriglione
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | $7,506 |
| 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 |
| 07-02318 | 03/25/2010 | Claimant(s): William Erickson
Claimant Lawyers(s): Daniel O. Stamm
Respondent(s): Joe Woods
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): J. A. Dutcher, Richard G. Link, Steven A. Fox
Hearing Site: San Diego, CA
| | |
| 09-00752 | 03/23/2010 | Claimant(s): Harry Lockmann
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Mark Holland, Banc of America Investment Services Inc.
Respondent Lawyers(s): Casey L. Moore, Stephen M. Dollar
Arbitrator(s): Stephen R. Clark, Kelly A. Barker, William L. Merkin
Hearing Site: San Diego, CA
| | $32,230 |
| 09-04746 | 03/08/2010 | Claimant(s): SagePoint Financial.
Claimant Lawyers(s): Barry R. Temkin
Respondent(s): John Heil
Respondent Lawyers(s): John H. Heil
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | |
| 09-03896 | 03/02/2010 | Claimant(s): Bradley Mccord, Tracy Turner
Claimant Lawyers(s): Tracy Turner
Respondent(s): Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
| | |
| 08-04786 | 02/16/2010 | Claimant(s): Christopher Cohn, Laurens Rhinelander, Simon Lewis
Claimant Lawyers(s): Erwin Shustak
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Andrew J. Ceresney
Arbitrator(s): Anatoly "Tony" Zuban, Deanna Margaret Veitia, Michael D. Briggs
Hearing Site: San Diego, CA
| | |
| 09-00588 | 02/02/2010 | Claimant(s): Alan Yaghdjian, Mireille Yaghdjian
Claimant Lawyers(s): Kenneth H. Stone
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Lester G. Stiel, Guenter S. Cohn, Steven A. Fox
Hearing Site: San Diego, CA
| | $0 |
