08-01288 | 10/08/2009 | Claimant(s): Harwell Family Trust, William P. Harwell Trust Claimant Lawyers(s): Jan D. Atlas, William P. Harwell Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Christopher G. Lazarini Arbitrator(s): Doris V. Knotter, John C. Lees, Michael D. Briggs Hearing Site: San Diego, CA
| | $0 |
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 |
08-02897 | 07/17/2009 | Claimant(s): Irma Agee, Irma T. Agee IRA Claimant Lawyers(s): Jonathan W. Evans Respondent(s): Beverly Hylton, Wedbush Morgan Securities Respondent Lawyers(s): Charles LaChaussee Arbitrator(s): Franklin G. Allen, Doris V. Knotter, Barry E. Kersh Hearing Site: San Diego, CA
| | $110,000 |
08-02082 | 07/14/2009 | Claimant(s): Everett Ross, Imogene Ross, Everett C & Imogene G Ross T U/A DTD 10/, Trustee Claimant Lawyers(s): Ryan K. Bakhtiari Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Stacey M. Garrett Arbitrator(s): Nancy J. Spieczny, James H. Fehlberg, Kevin K. Forrester Hearing Site: San Diego, CA
| | $173,798 |
08-01552 | 05/13/2009 | Claimant(s): Efficacy Biotech Master Fund Ltd Claimant Lawyers(s): Andrew R. Dennington Respondent(s): National Financial Services LLC, Fidelity Capital Markets Services Respondent Lawyers(s): Cameron S. Matheson Arbitrator(s): Greta Glavis, John H. Knight, Janice L. Sperow Hearing Site: San Diego, CA
| | $423,634 |
08-00696 | 05/12/2009 | Claimant(s): James Lassiter Claimant Lawyers(s): Thomas E. Wenbourne Respondent(s): Matthew Murphy, Wamu Investments. Respondent Lawyers(s): Steven J. Barnes Arbitrator(s): Harvey C. Flodin, James A. Bush, Duane Ted Wolfe Hearing Site: San Diego, CA
| | $10,375 |
08-00738 | 04/23/2009 | Claimant(s): Bruno Schmidt, Carol Schmidt, Lawrence Casey, Noel Vitug, Rose Vitug, Lawrence Donald Casey IRA, Jr. IRA, Bruno Schmidt & Carol Anne Schmidt Claimant Lawyers(s): Richard A. Nervig Respondent(s): Adolf Kohn, Charles Helfrich, Irene Gerold, John Winnick, I.C.R. Financial Center Respondent Lawyers(s): Adolf F. Kohn, Adolf Kohn, Charles J. Helfrich, Irene Maria Gerold, John F. Winnick Arbitrator(s): Mandel E. Himelstein, Mary Elizabeth Geerdes, James B. Guillou Hearing Site: San Diego, CA
| | $423,740 |
08-02945 | 03/12/2009 | Claimant(s): Michael Casey Claimant Lawyers(s): Michael W. Casey Respondent(s): Kraig Pivnick, Michael Nocella, Wunderlich Securities. Respondent Lawyers(s): Kraig Barrence Pivnick, Lori H. Patterson, Stephen B. Wexler Arbitrator(s): Kevin K. Forrester Hearing Site: San Diego, CA
| | $0 |
04-00980 | 02/26/2009 | Claimant(s): Allen Paulson Living Trust Claimant Lawyers(s): Steve Buchwalter Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Michael M. Gless Arbitrator(s): Lester G. Stiel, Robert W. Vernon, Lisa M. Roth Hearing Site: San Diego, CA
| | $800,000 |
07-02555 | 02/24/2009 | Claimant(s): Michael Fangman Claimant Lawyers(s): Liam O'Brien Respondent(s): National Financial Services LLC, Stanley Brooks, Brookstreet Securities Corporation Respondent Lawyers(s): Donald S. Davidson, H Thomas Fehn, Stanley C. Brooks Arbitrator(s): Franklin Geerdes, Virginia H. Gaburo, Robert E. Witt Hearing Site: San Diego, CA
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