| 09-00203 | 09/14/2010 | Claimant(s): Maureen Graf, Robert Bulchis
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Ralph A. Cotton, James N. D'Orso, Mark Aaron Jones
Hearing Site: San Francisco, CA
|  | Stipulated Award and Expungement |
| 09-04136 | 09/14/2010 | Claimant(s): Maimoona Mirdad
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Donald S. Green
Hearing Site: San Francisco, CA
| | $49,000 |
| 09-04240 | 09/14/2010 | Claimant(s): Robert Lewis, Lewis & Associates., Ridgecrest Groves., John Benjamin Lewis & Robert W. Lewis, Barbara Murphy Lewis Trust, Robert Wayne Lewis Revocable Trust
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Patrick D. King, Marilyn K. Dirks, Horace A. Andrews
Hearing Site: Tampa, FL
| | Expungement |
| 10-00517 | 09/14/2010 | Claimant(s): Brian Siulinski
Claimant Lawyers(s): Brian W. Siulinski
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Donald K. Eckhardt
Hearing Site: Houston, TX
| | $11,222 |
| 10-00790 | 09/14/2010 | Claimant(s): George M. Hunley, Jr. and Ada M. Hunley
Claimant Lawyers(s): George M. Hunley
Respondent(s): Stewart Fisher, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | $425 |
| 10-00993 | 09/14/2010 | Claimant(s): Diane Loper
Claimant Lawyers(s): Diane N. Loper
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Herbert S. Bratt
Hearing Site: Milwaukee, WI
| | $0 |
| 09-05216 | 09/13/2010 | Claimant(s): Gary Miles
Claimant Lawyers(s): Wayne G. Johnson
Respondent(s): Gregory Randall, Jac Tomasello, Southwest Securities., U.S. Brokerage.
Respondent Lawyers(s): Gregory A. Randall, Jac G. Tomasello, Jonathan D. Neerman
Arbitrator(s): Thomas H. Barnard, Elena M. Colianni, William L. White
Hearing Site: Pittsburgh, PA
| | |
| 09-02018 | 09/13/2010 | Claimant(s): Donna Appleby
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Bruce Pomerantz, Wachovia Securities
Respondent Lawyers(s): Matthew E. Wolper, Robert A. W. Boraks
Arbitrator(s): Susan M. Dunning, Stuart Harvey Ziegler, Walter A. Bajak
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 09-05755 | 09/13/2010 | Claimant(s): Michael J. Sorensen and Angela Sorensen
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Teresa E. Adams
Arbitrator(s): Kenneth M. Jackson
Hearing Site: Memphis, TN
| | $0 |
| 10-01098 | 09/13/2010 | Claimant(s): Eugene Krzywicki, IRA
Claimant Lawyers(s): Eugene Krzywicki
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Donald W. McKenzie
Hearing Site: Chicago, IL
| | $213 |
