| 08-01775 | 02/06/2009 | Claimant(s): William Aste
Claimant Lawyers(s): James J. Aste
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Jon C. Milliken
Hearing Site: San Diego, CA
|  | $0 |
| 06-02604 | 02/02/2009 | Claimant(s): Thomas Turk, Thomas E. Turk Revoc. Trust, Thomas E. Turk Trust
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Roy Norman, Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): John P. Cione, Lester G. Stiel, Audrey H. Ruben
Hearing Site: San Diego, CA
| | $66,800 |
| 07-01978 | 12/09/2008 | Claimant(s): Mondofin Inc., Mondofin Inc. No. 23, Mondofin Inc. No. 24, Mondofin Inc. No. 33
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Jonathan Robbins
Arbitrator(s): Alfred E. Monahan, Guenter S. Cohn, Gino Dante Serpe
Hearing Site: San Diego, CA
| | $0 |
| 07-03470 | 12/02/2008 | Claimant(s): Daniel Hurley
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Mark Moskowitz, Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Mark J. Moskowitz
Arbitrator(s): Franklin G. Allen, James O. Johnson, Gino Dante Serpe
Hearing Site: San Diego, CA
| | $80,000 |
| 07-02717 | 11/20/2008 | Claimant(s): Kathryn Chapman, Ronald May
Claimant Lawyers(s): Thomas C. Frost
Respondent(s): Michael McClellanL fka Linsco/Private Ledger Corp.
Respondent Lawyers(s): Michael H. McClellan, Michael L. Kirby
Arbitrator(s): Joel C. Estes, Greta Glavis, Steven A. Fox
Hearing Site: San Diego, CA
| | $1,800,000 |
| 08-00012 | 10/09/2008 | Claimant(s): Wedbush Morgan Securities
Claimant Lawyers(s): Lucia La Rosa Ames
Respondent(s): Richard LaBare
Respondent Lawyers(s): Arthur S. Leider
Arbitrator(s): Alfred E. Monahan, William L. Erwin, John C. Lees
Hearing Site: San Diego, CA
| | |
| 07-03120 | 09/12/2008 | Claimant(s): Anita Wood
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Lance Pelky, ING Financial Partners.
Respondent Lawyers(s): Sam Y. Edgerton
Arbitrator(s): Gunnar Thowsen, Erwin Jay Shustak, Sally G. Williams
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 05-05159 | 09/04/2008 | Claimant(s): Michael Holland, William Holland
Claimant Lawyers(s): Karen A. Batcher
Respondent(s): Wachovia Securities, Eugene Ingargiola
Respondent Lawyers(s): Joseph R. Becerra
Arbitrator(s): Alan Stamm, James H. Bowersox, Gerald F. Corrigan
Hearing Site: San Diego, CA
| | |
| 06-05295 | 08/29/2008 | Claimant(s): Curt Reed
Claimant Lawyers(s): Lawrence J. Fossi
Respondent(s): Lincoln Financial Advisors Corporation, The Lincoln National Life Insurance Co
Respondent Lawyers(s): David J. Novotny
Arbitrator(s): Dennis Michael Kelleher, Joseph J. Woodford, Michael D. Briggs
Hearing Site: San Diego, CA
| | |
| 06-02304 | 08/15/2008 | Claimant(s): Norman Hellerud
Claimant Lawyers(s): Patrick N. Keegan
Respondent(s): Bruce Oakes
Respondent Lawyers(s): Bruce D. Oakes
Arbitrator(s): Stephen R. Clark, James O. Johnson, Vytas Tarulis
Hearing Site: San Diego, CA
| | $0 |
