| 10-01447 | 09/28/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Day
Respondent Lawyers(s): James Robert Day
Arbitrator(s): Mandel E. Himelstein
Hearing Site: Los Angeles, CA
| | |
| 07-02482 | 09/28/2010 | Claimant(s): Christina Keller
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Patricia Hoenings
Respondent Lawyers(s): Patricia Hoenings
Arbitrator(s): Catherine Ladnier, Charles S. Guggenheimer, Bernard Korman
Hearing Site: New York, NY
|  | Expungement |
| 09-04331 | 09/28/2010 | Claimant(s): Helen Oathout, Joan Burdick, Peggy Armstrong
Claimant Lawyers(s): William Bankston
Respondent(s): Charles Schwab & Co.., Charles Schwab Corporation, Charles Schwab Financial Services Group, Charles Schwab Investment Management, In, Schwab Investments.
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Alexander H. Slivka, William J. Bender, Nancy J. Highness
Hearing Site: Anchorage, AK
| | $75,000 |
| 09-06771 | 09/28/2010 | Claimant(s): The Brandewie Family Trust
Claimant Lawyers(s): Richard A. Brandewie
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | $36,443 |
| 10-00585 | 09/28/2010 | Claimant(s): John Amoghlian
Claimant Lawyers(s): John Amoghlian
Respondent(s): Christina Simpson, Citicorp Investment Services
Respondent Lawyers(s): Artur M. Wlazlo
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $175 |
| 09-03119 | 09/27/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. MacAvoy
Respondent(s): Andrea Smith
Respondent Lawyers(s): Steven C. Earl
Arbitrator(s): Eli Bensky, Joshua D. Wallach, Ross D. Friend
Hearing Site: Houston, TX
| | |
| 09-02961 | 09/27/2010 | Claimant(s): Grant Gifford, Healthright Partners
Claimant Lawyers(s): Mark W. Pugsley
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Heidi G. Goebel
Arbitrator(s): Richard J. Lawrence, Clifford N. Coury, Joseph J. Palmer
Hearing Site: Salt Lake City, UT
| | $4,424,460 |
| 10-00383 | 09/27/2010 | Claimant(s): Alan Thietje and Michelle Thietje
Claimant Lawyers(s): Mark K. Davis
Respondent(s): Angelo Cortes, Morgan Stanley
Respondent Lawyers(s): Lawrence G. Barbot
Arbitrator(s): Roy J. Moceri
Hearing Site: Seattle, WA
| | $25,425 |
| 09-03449 | 09/27/2010 | Claimant(s): Richard & Janice Wolf
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Carl Cornaglia
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Dennis C. Cronin, Samuel H. Chorches, Jonathan Christian Byron
Hearing Site: New London, CT
| | $150 |
| 09-01736 | 09/24/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): David Berman
Respondent Lawyers(s): David T. Berman
Arbitrator(s): Marcy R. Greer
Hearing Site: Clearwater, FL
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