| 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
| | |
| 08-00125 | 02/11/2009 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne Yannakakis
Respondent(s): Peter Holst
Respondent Lawyers(s): Peter Anthony Holst
Arbitrator(s): Lester G. Stiel, Roger T. Verhage, Mary Elizabeth Geerdes
Hearing Site: San Diego, CA
| | |
| 08-01033 | 02/10/2009 | Claimant(s): Karen Schneiderman, IRA, Robert Schneiderman, Schneiderman Trust UAD 05/22/91
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Harvey C. Flodin, Jerome M. Libenson, Edward Anthony Reguero
Hearing Site: San Diego, CA
| | $125,000 |
