| 09-00110 | 08/11/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Martin Vanamen
Respondent Lawyers(s): Martin Johanne Vanamen
Arbitrator(s): Thomas D. Tays, David M. Seidner, Suzanne M. Dallimore, P.C.
Hearing Site: Salt Lake City, UT
| | |
| 09-05092 | 08/11/2010 | Claimant(s): Vishal Thacker
Claimant Lawyers(s): Vishal Thacker
Respondent(s): George Ramirez, MFR Securities.
Respondent Lawyers(s): George M. Ramirez
Arbitrator(s): William Ziering
Hearing Site: San Francisco, CA
| | |
| 09-06471 | 08/11/2010 | Claimant(s): Saengnakhorn Cinq-Mars
Claimant Lawyers(s): Saengnakhorn Phothisane Cinq-Mars
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Renan Sugarman
Arbitrator(s): William J. Rosso, Andrew R. Dick, Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 09-00282 | 08/11/2010 | Claimant(s): Mark Farnsley
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Frank Bluestein
Respondent Lawyers(s): Frank J. Bluestein
Arbitrator(s): Walter P. Hitchcock
Hearing Site: San Francisco, CA
|  | $41,831 |
| 09-01188 | 08/11/2010 | Claimant(s): Anna Campbell
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Donald Dunakin
Respondent Lawyers(s): Donald Dunakin
Arbitrator(s): Jonathan H. Krotinger, George Burton Brewster, Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | $81,440 |
| 09-02762 | 08/11/2010 | Claimant(s): Dan Schmeidler
Claimant Lawyers(s): Dan Schmeidler
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mai P. Klaassen
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
| | $0 |
| 09-05536 | 08/11/2010 | Claimant(s): Alfred Davenport Jr., A.L. Davenport Trust
Claimant Lawyers(s): Robert L. Risley
Respondent(s): Bjorn Hauerbach, Donald Gorsch, Edward Tom, UBS Financial Services Inc., UBS
Respondent Lawyers(s): Corporate Officer, Neal S. Robb
Arbitrator(s): Theodore G. Bradpiece, Kenneth E. Owen, Cathleen M. Cobb
Hearing Site: Los Angeles, CA
| | $0 |
| 07-02623 | 08/10/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): John E. MacDonald
Respondent(s): John Zannakis
Respondent Lawyers(s): Jeffrey S. Stewart
Arbitrator(s): John J. Jordan, Steven T. Stern, Robert C. Scanlan
Hearing Site: Philadelphia, PA
| | |
| 09-04519 | 08/10/2010 | Claimant(s): Tammie Lewis, Tammie L. Lewis Revocable Trust, Wm Lewis Ttee Tammie L. Lewis Rev. Trust
Claimant Lawyers(s): Kevin F. Arthur
Respondent(s): Kathy Gordon, Gordon Financial Services., Medallion Investment Services., TMG Holding Co.., The Medallion Advisory Services
Respondent Lawyers(s): Brian M. Zaid, Thomas J. Schetelich
Arbitrator(s): Wilbert H. Luck, John L. Braxton, Charles C. Fox
Hearing Site: Baltimore, MD
| | $275,600 |
| 09-05418 | 08/10/2010 | Claimant(s): Alton R. Jacobs, Cynthia S. Rosier, Danny L. Beaver, Eugene H. Lefebvre, Herman Wissel, Howard C. Wendzel, Patrick R. Ireland, Rafael E. Castro, T. Michael Rosier, John S. Damico and Mary L. Damico, Joseph P. Rosier and T. Michael Rosier, Mitchell C. Rosenburg & Janis Gilberti-, Norman L. Johnson and Greer Lang Johnson, Oscar Hopkins and Alice S. Hopkins, Otto N. and Cynthia M. Bie, Peter Skemp and Nancy Skemp, Alton R. Jacobs Living Trust Agreement, Beverly A. Jackson Family Trust Agreemen, Billy G. Jackson Family Trust Agreement, Bryant O'B. Smith Char Rem Annuity Trust, et al
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): Charles O'Kelley, Atlantic Coast Securities Corp
Respondent Lawyers(s): William J. Schifino
Arbitrator(s): Nicholas John Taldone, Patrick D. King, Kenneth R. Starr
Hearing Site: Tampa, FL
| | Stipulated Award |
