| 08-01973 | 04/27/2010 | Claimant(s): The Minette B. Fisher Family Trust, The Nanette L. Fisher Family Trust, The Roe Green Foundation, The Roe Green Trust
Claimant Lawyers(s): James F. Koehler
Respondent(s): Charles Schwab, Evelyn Dilsaver, George Pereira, Charles Schwab & Co.., Randall Merk, Robert Lewandowski, Roger Baranovic, Schwab Investments, The Charles Schwab Corporation
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Ellen Holland Keller, Kathleen P. Helbig-Hannan, Harold Dean Tolbert
Hearing Site: Cleveland, OH
|  | $310,074 |
| 09-02843 | 04/27/2010 | Claimant(s): Ettore Stratta, Patricia Stratta
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Andrew Wolff, Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | $67,114 |
| 08-04331 | 04/27/2010 | Claimant(s): Clifford Lee
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Langfred W. White, Robert Stephen Burns, Francis Joseph Bourgeois
Hearing Site: Tampa, FL
| | $0 |
| 08-03228 | 04/26/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): William Slonecker
Respondent Lawyers(s): William Gregory Slonecker
Arbitrator(s): John A. Davis, Michael A. McMahan, James A. McIntosh
Hearing Site: Nashville, TN
| | |
| 09-03441 | 04/26/2010 | Claimant(s): Peter Lombard
Claimant Lawyers(s): Howard I. Elman
Respondent(s): Jefferies & Company., Jefferies Group.
Respondent Lawyers(s): David Elsberg
Arbitrator(s): Howard I. Wilgoren, Jeffrey P. Petrucelly, Dennis R. Surprenant
Hearing Site: Boston, MA
| | |
| 09-03365 | 04/26/2010 | Claimant(s): Judy Lipinski, William Lipinski, Judy A. Linpinski as TTEE of the Judy A., William A. Lipinski, TTEE of the William
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Stifel, Nicolaus & Co.., Donald Meyer
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Michael S. Matek, Robert P. Bramnik, Leon Fox
Hearing Site: Chicago, IL
| | $0 |
| 09-06124 | 04/26/2010 | Claimant(s): Richard Royce Palmer IRA
Claimant Lawyers(s): Richard Royce Palmer
Respondent(s): Carl Morrison, Edward Jones
Respondent Lawyers(s): Carl Kirby Morrison, Dennis J. Capriglione
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | $7,506 |
| 08-04881 | 04/23/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Scott Nicol
Respondent Lawyers(s): Mark T. Butler
Arbitrator(s): Larry C. Kreul, D. Michael Kratchman, Garrick A. Rollert
Hearing Site: Detroit, MI
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| 09-00408 | 04/23/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Xin Li
Respondent Lawyers(s): Albert L. Boasberg
Arbitrator(s): John Patrick Kelly, John J. Fitzpatrick, James Conrad Riewerts
Hearing Site: San Francisco, CA
| | |
| 09-00722 | 04/23/2010 | Claimant(s): White Pacific Securities.
Claimant Lawyers(s): Christopher Mader
Respondent(s): Spartan Securities Group, LTD
Respondent Lawyers(s): Elizabeth Campbell
Arbitrator(s): Nicholas J. Caputo, Mary Curran, Peter Anthony Sigal
Hearing Site: San Francisco, CA
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