| 09-06839 | 08/19/2010 | Claimant(s): Christopher Carter
Claimant Lawyers(s): Christopher Carter
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): John Fleming Kelly
Hearing Site: Salt Lake City, UT
|  | $319 |
| 09-07241 | 08/19/2010 | Claimant(s): Michael Koch
Claimant Lawyers(s): Scott K. Porsborg
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Herbert S. Bratt
Hearing Site: Bismarck, ND
| | $0 |
| 10-00419 | 08/19/2010 | Claimant(s): Bella Maisel
Claimant Lawyers(s): Bella Villella Maisel
Respondent(s): Feltl & Company
Respondent Lawyers(s): F. Chet Taylor
Arbitrator(s): Joan L. Volz
Hearing Site: Minneapolis, MN
| | $325 |
| 10-01432 | 08/18/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Ian Stowers
Respondent Lawyers(s): Ian Karl Stowers
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
| | |
| 09-00711 | 08/18/2010 | Claimant(s): Northern Lights Fund Trust
Claimant Lawyers(s): John Lekas
Respondent(s): Albert Lowenthal, Angus Oughtred, Dennis Mcnamara, Elaine Roberts, Jeffrey Alfano, Oppenheimer & Co.., Lawrence Spaulding
Respondent Lawyers(s): Robert J. Bocko
Arbitrator(s): Joyce L. Tyler, Nancy E. Hochman, Harold J. Schleef
Hearing Site: Portland, OR
| | Stipulated Award and Expungement |
| 09-03908 | 08/18/2010 | Claimant(s): Barbara Wammer, Nelson Irrevocable Trust, Nelson Marital Trust
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Kenneth Myers, 1st Discount Brokerage.
Respondent Lawyers(s): Susan Yoffee
Arbitrator(s): Gary H. Kahn, Juleanne A. Thiebaut, Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $202,300 |
| 08-01412 | 08/18/2010 | Claimant(s): Gerard Chang
Claimant Lawyers(s): Gerard Chang
Respondent(s): Deborah Tharp, Citigroup Global Markets., Paul Katerndahl, Citigroup Smith Barney.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Ferdinand Schoch, Harry B. Endsley, Juleanne A. Thiebaut
Hearing Site: San Francisco, CA
| | $0 |
| 08-01631 | 08/18/2010 | Claimant(s): Andrew Sims, Mark Sims, Patricia Sims
Claimant Lawyers(s): Christopher M. DeVito
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Jeffrey M. Bain, Richard S. Hines, Shelly A. Goering
Hearing Site: Cleveland, OH
| | $0 |
| 09-02893 | 08/18/2010 | Claimant(s): Steven Steinberg
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | $0 |
| 10-00107 | 08/18/2010 | Claimant(s): Catherine Miner
Claimant Lawyers(s): Gregory L. Miner
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Mary Ann Jenkins
Arbitrator(s): Jason G. Ourso
Hearing Site: New Orleans, LA
| | $0 |
