| 09-02939 | 01/07/2011 | Claimant(s): Roger Maurer, Shay Lindemann, Maurer and Associates Capital Management
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Dennis R. Frohlich, Jerome C. Zackroff, Leonard M. Goldstein
Hearing Site: Denver, CO
|  | Expungement |
| 09-04866 | 01/07/2011 | Claimant(s): Patrick J. Rohan., Diane E. Rohan Profit Sharing Plan U/A, Patrick J. Rohan Pension Plan U/A dtd 3/, Patrick J. Rohan & Diane E. Rohan Trust, Patrick J. Rohan Trust
Claimant Lawyers(s): Christopher T. Vernon, Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Doris V. Knotter, James J. Dobbin, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | Expungement |
| 10-00536 | 01/07/2011 | Claimant(s): Hazel Sleight, Ivan Sleight
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): Joseph L. Mangan, Paul R. Meyer, James E. Bartels
Hearing Site: Boise, ID
| | $213,486 |
| 10-01800 | 01/07/2011 | Claimant(s): Jimmy Hair, Karen Hair, Oceans 30.
Claimant Lawyers(s): Rosemary J. Shockman
Respondent(s): Jared Roskelley, Sagepoint Financial., Keith Degreen
Respondent Lawyers(s): Alan Baskin, Robert B. Ericson, Robert D. Mitchell
Arbitrator(s): Charles W. Herf, Marc Kalish, Henry L. Dahl
Hearing Site: Phoenix, AZ
| | Expungement |
| 04-04184 | 01/06/2011 | Claimant(s): Cheryl Schwarzwaelder
Claimant Lawyers(s): Joseph H. Chivers
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael J. Fortunato
Arbitrator(s): Bert S Cliff, James J. Puhala, Rebecca A. Bowman
Hearing Site: Pittsburgh, PA
| | |
| 07-01334 | 01/06/2011 | Claimant(s): Kayvan Karoon
Claimant Lawyers(s): Thomas Vays
Respondent(s): Shawn Arlauckas, Financial Network Investment Corporati
Respondent Lawyers(s): Shawn Arlauckas, Thomas Vays
Arbitrator(s): Fred S. Pieroni, Robina Fedora Asti, Anthony P. Connolly
Hearing Site: Newark, NJ
| | |
| 09-01067 | 01/06/2011 | Claimant(s): David Sacco
Claimant Lawyers(s): Jeffery L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): Brian J. Burstin, Kevin B. Naughten, Robert Bartels
Hearing Site: New York, NY
| | |
| 09-05841 | 01/06/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): A. Keith Logue, Dennis J. Levin, Marvin S. Lava
Hearing Site: Ft. Lauderdale, FL
| | |
| 10-00803 | 01/06/2011 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): John K. Wells
Respondent(s): Dwight Hazelwood
Respondent Lawyers(s): Dwight Hazelwood
Arbitrator(s): Keith D. Patten, Paul Mann
Hearing Site: Little Rock, AR
| | |
| 10-03360 | 01/06/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Donald B. Vaden
Hearing Site: Washington, DC
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