| 10-04015 | 01/21/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): August "Jamie" H. Schupp
Respondent(s): Peter Jelstrom
Respondent Lawyers(s): Peter Lindsay Jelstrom
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
| | |
| 09-04602 | 01/21/2011 | Claimant(s): Konstantinac C. Panagios, Paul J. Panagios, Konstantina C. Panagios and Pauline Chil, Pauline Chilakis and Konstantina C. Pana
Claimant Lawyers(s): Paul J. Panagios
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michele R. Fron
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
|  | Stipulated Award and Expungement |
| 09-04669 | 01/21/2011 | Claimant(s): Thomas Lewellen, Vida Hill, Thomas & Mary C/F Matthew Lewellen UGMA, Thomas L. Lewellen Do PA DTD 10/1/1980
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Donald F Winningham
Arbitrator(s): Benjamin F. Richards, Veera V. Konka, Casey John Whalley
Hearing Site: Little Rock, AR
| | $100,000 |
| 09-01961 | 01/21/2011 | Claimant(s): Cynthia Brown, Wayne Brown
Claimant Lawyers(s): Joel M. Weiner
Respondent(s): Wachovia Securities, Dennis Anderson
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): Ray J. Grzebielski, Jay K. Buck, Lee H. Goodman
Hearing Site: Chicago, IL
| | $0 |
| 10-02724 | 01/21/2011 | Claimant(s): Jawaid Murtaza
Claimant Lawyers(s): Jawaid Murtaza
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
| | $0 |
| 08-05026 | 01/20/2011 | Claimant(s): Fox & Company Investments Inc.
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): John Shryack, Steven Gundy, Milkie/Ferguson Investments.
Respondent Lawyers(s): David A. Zisser, Henry J. Ackels
Arbitrator(s): Maxel (Bud) B. Silverberg, James L. Goble, Robert M. Nicoud
Hearing Site: Dallas, TX
| | |
| 09-05313 | 01/20/2011 | Claimant(s): Clarence Taylor, Jason Haddaway, Jonathan Bjoring, Michael Gray
Claimant Lawyers(s): Thomas Earl Patton
Respondent(s): Banc of America Investment Services Inc., Bank of America Corporation
Respondent Lawyers(s): Daryl S. Landy
Arbitrator(s): Bonnie K. Wachtel, William H. Malloy, Caryl S. Bernstein
Hearing Site: Washington, DC
| | |
| 10-02926 | 01/20/2011 | Claimant(s): Joseph Zielinski
Claimant Lawyers(s): Joseph Anthony Zielkinski
Respondent(s): Joseph Caruso
Respondent Lawyers(s): Joseph C. Caruso
Arbitrator(s): Doris J. Dabrowski
Hearing Site: Philadelphia, PA
| | |
| 10-04449 | 01/20/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Rodel Corriente
Respondent Lawyers(s): Rodel Corriente
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
| | |
| 08-04462 | 01/20/2011 | Claimant(s): Alphonse Matt, Alphonse J.Matt,Jr. (Bene) IRA Rollover
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Lawrence J. Welte, James A. Lundberg, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
