| 08-04438 | 07/15/2010 | Claimant(s): Hossein Nilipour
Claimant Lawyers(s): Stephen D. Heninger
Respondent(s): TD Ameritrade., Jim Douglass
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Steven P. Gregory, Laree Payne Kennedy, Charles Lange Clark
Hearing Site: Birmingham, AL
|  | Expungement |
| 09-00088 | 07/15/2010 | Claimant(s): Jeanette Andreas, Joel Andreas
Claimant Lawyers(s): James A. Sigler
Respondent(s): Charles Schwab & Co.., William Read
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Larry Edmonson, Larry Haugaard, Robert Rosen
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-03329 | 07/15/2010 | Claimant(s): Maria Guajardo, Samir Chaman
Claimant Lawyers(s): Patrick J Kanouff
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Charles A. Gall
Arbitrator(s): Gregory D. Thomas, Paul A. Krepinski, David L. Erickson
Hearing Site: Denver, CO
| | $500,000 |
| 09-05643 | 07/15/2010 | Claimant(s): Marilyn Hazell
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): David Dube
Respondent Lawyers(s): David William Dube
Arbitrator(s): Harvey Alan Blicksilver
Hearing Site: Orlando, FL
| | $400,000 |
| 09-05979 | 07/15/2010 | Claimant(s): Martin Reisner
Claimant Lawyers(s): Charles D. Heidgerd
Respondent(s): David Maggio, Suntrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Paul W. Sterman, Syma S. Kasdin, Mark I. Scheinbaum
Hearing Site: Boca Raton, FL
| | $38,500 |
| 09-03611 | 07/15/2010 | Claimant(s): Arlyn E. Hanson IRA, Priscilla E. Hanson IRA, Priscilla E. Hanson & Arlyn E. Hanson, Arlyn E. Hanson Trust, Priscilla E. Hanson Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Kenneth Kauth, Wells Fargo Advisors
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Gerald M. Gifford, Douglas Randall Blohm, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $0 |
| 09-06928 | 07/15/2010 | Claimant(s): Debra Alavi DDS MS Defined Benefit Plan,
Claimant Lawyers(s): Debra G Alavi
Respondent(s): Douglas Mavrovic
Respondent Lawyers(s): Nicole C. Johnson
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $0 |
| 10-00070 | 07/15/2010 | Claimant(s): Alvin M. Coppersmith, IRA Account, Alvin M. and Linda Coppersmith Per/Acct, Alvin M. Coppersmith Keogh Account
Claimant Lawyers(s): Alvin M. Coppersmith
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | $0 |
| 09-04033 | 07/14/2010 | Claimant(s): Scott Skinner
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): Steve R. Neuman, Larry J. Sklar, Matthew G. Wylie
Hearing Site: Houston, TX
| | |
| 10-00872 | 07/14/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mary Jo Cantu
Respondent(s): Victor Bailey
Respondent Lawyers(s): Victor Bailey
Arbitrator(s): Mark A. Myers
Hearing Site: Houston, TX
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