| 09-00588 | 02/02/2010 | Claimant(s): Alan Yaghdjian, Mireille Yaghdjian
Claimant Lawyers(s): Kenneth H. Stone
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Lester G. Stiel, Guenter S. Cohn, Steven A. Fox
Hearing Site: San Diego, CA
|  | $0 |
| 07-03166 | 02/01/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Brody Weichbrodt
Respondent(s): Donald Minton, Martin Smith, Raymond, James & Associates., Stephen Merrick, Theodore Sturges
Respondent Lawyers(s): Caitlin M. Piccarello, John F. Stoviak
Arbitrator(s): Sharon R. Merriman, Terresa L. Beaman, Christine M. Arnold
Hearing Site: Indianapolis, IN
| | |
| 09-04628 | 02/01/2010 | Claimant(s): America's Choice Equities LLC
Claimant Lawyers(s): Raymond Nardo
Respondent(s): Stephen Liotta
Respondent Lawyers(s): Stephen Michael Liotta
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | |
| 08-02620 | 02/01/2010 | Claimant(s): The Richard Ritchie Trust, The Roberta Ritchie Trust
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Keith Pagan, Dakota Securities International.
Respondent Lawyers(s): Bruce Zipper, President, Paul A. Alsdorf
Arbitrator(s): Monroe Mitchel, John H. Claudy, Paul Chernis
Hearing Site: Charlotte, NC
| | Expungement |
| 08-04216 | 02/01/2010 | Claimant(s): Bill Steinkirchner
Claimant Lawyers(s): Adam J. Gana
Respondent(s): McGinn, Smith & Co..
Respondent Lawyers(s): Thomas D. Buchanan
Arbitrator(s): Ronald W. Devoe, Robert H. Nelson, Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $455,000 |
| 08-04321 | 02/01/2010 | Claimant(s): Abid A. Shah Trust UAD 9/12/92
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Clyde McMullen, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): Edith N. Dinneen, Jack A. Helms, Keith M. Crouse
Hearing Site: Tampa, FL
| | $255,000 |
| 09-02917 | 02/01/2010 | Claimant(s): Shirley Ward, Shirley Ward & Debra Hamilton Living Tru
Claimant Lawyers(s): Shirley Ward
Respondent(s): Uvest Financial Services Group.
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | $10,325 |
| 09-04048 | 02/01/2010 | Claimant(s): Sharon Duliga
Claimant Lawyers(s): Sharon Duliga
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Christine M. Hanna
Arbitrator(s): Robert J. Saex
Hearing Site: Boca Raton, FL
| | $15,425 |
| 08-03952 | 02/01/2010 | Claimant(s): Crisostomo ("Tom") Garcia, Crisostomo B. Garcia Trust
Claimant Lawyers(s): James P. Delphey
Respondent(s): Stephen Kaplan, Gilford Securities Incorporated
Respondent Lawyers(s): Gabriel A. Mendel, Martin H. Kaplan
Arbitrator(s): Guenter S. Cohn, Barry E. Kersh, Evelyn R. Wiggins
Hearing Site: San Diego, CA
| | $0 |
| 09-04196 | 02/01/2010 | Claimant(s): Francis LaLuna
Claimant Lawyers(s): Francis J. LaLuna
Respondent(s): ING Investment Management Services LLC
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $163 |
