| 09-05198 | 02/17/2010 | Claimant(s): James Patrick
Claimant Lawyers(s): James W. Patrick
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
|  | $425 |
| 08-04786 | 02/16/2010 | Claimant(s): Christopher Cohn, Laurens Rhinelander, Simon Lewis
Claimant Lawyers(s): Erwin Shustak
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Andrew J. Ceresney
Arbitrator(s): Anatoly "Tony" Zuban, Deanna Margaret Veitia, Michael D. Briggs
Hearing Site: San Diego, CA
| | |
| 09-00840 | 02/16/2010 | Claimant(s): John V.L. Parry & Susan M. Parry JTWROS, The Concetta V. Fearn Trust, The John & Susan Parry CR Trust
Claimant Lawyers(s): John V.L. Parry
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Timothy Jernigan
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Janet N. Smiles, Marie G. Peterson, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | $588 |
| 08-04292 | 02/12/2010 | Claimant(s): Tyler Smith
Claimant Lawyers(s): Bradley Wm. Bowen
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Julia C. Webb
Arbitrator(s): Jesse Stuart Shackelford, Joel T. Marker, John G. Manley
Hearing Site: Salt Lake City, UT
| | |
| 09-04795 | 02/12/2010 | Claimant(s): World Trade Financial Corporation
Claimant Lawyers(s): Scott Lawler
Respondent(s): Eugene Austin, Wonderland Capital Corp.
Respondent Lawyers(s): Eugene W. Austin
Arbitrator(s): Elliot Berman
Hearing Site: New York, NY
| | $0 |
| 08-04166 | 02/12/2010 | Claimant(s): John Hepler, Viola Hepler, Hepler Joint Tenant Survivorship
Claimant Lawyers(s): Anthony B. Bingham
Respondent(s): Gary Capra, John Astori
Respondent Lawyers(s): John C. Legutki, John Astori
Arbitrator(s): I. Douglas Dunipace, Leon G. Mackey, Pamela M. Katzenberg
Hearing Site: Phoenix, AZ
| | $101,000 |
| 09-03826 | 02/12/2010 | Claimant(s): Dennis Frye
Claimant Lawyers(s): Dennis A. Frye
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Christine M. Hanna
Arbitrator(s): Leona Beane
Hearing Site: Raleigh, NC
| | $5,425 |
| 09-00949 | 02/12/2010 | Claimant(s): Vijay Reddy
Claimant Lawyers(s): William B. Young
Respondent(s): Shondeep Balchandani, NSM Securities.
Respondent Lawyers(s): Stephen B. Wexler
Arbitrator(s): J. Porter McClean, Gayle B. Carlson, Frank William Savino
Hearing Site: Orlando, FL
| | $0 |
| 09-03271 | 02/12/2010 | Claimant(s): Estate of Roger D. Emling
Claimant Lawyers(s): Christopher T. O'Connor
Respondent(s): UMB Financial Services.
Respondent Lawyers(s): Donald D. McBride
Arbitrator(s): Anthony J. Soukenik, Julie L. DeWitt, James M. Stern
Hearing Site: St. Louis, MO
| | $0 |
| 07-02333 | 02/11/2010 | Claimant(s): Aaron Leone
Claimant Lawyers(s): Jesper I. Rasmussen
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Douglas A. Wickham
Arbitrator(s): Daniel M. Yamshon, William A. Husa, Joseph M. O'Connor
Hearing Site: San Francisco, CA
| | |
