| 08-01035 | 07/08/2009 | Claimant(s): Lanfear Capital Advisers
Claimant Lawyers(s): Paul B. Nesbitt
Respondent(s): Rani Jarkas, Global Crown Capital, Llc
Respondent Lawyers(s): David G. Finkelstein, Melvin K. Patterson
Arbitrator(s): Thomas C. McNally, Marvin G. Breen, Roberta R. Jeffrey
Hearing Site: San Francisco, CA
|  | $1,688,000 |
| 09-00741 | 07/08/2009 | Claimant(s): Edwin Goldstein
Claimant Lawyers(s): Samuel T. Brannan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Charles L. Prothero
Hearing Site: Newark, NJ
| | $17,779 |
| 08-03250 | 07/08/2009 | Claimant(s): John F. Archer and Karin A. Archer JT
Claimant Lawyers(s): Richard H. Elliot
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Michael E. Rohde, Donald Vincent Enright, C. Sumpter Logan
Hearing Site: Dallas, TX
| | $0 |
| 08-04206 | 07/08/2009 | Claimant(s): Marilyn Lea Brown
Claimant Lawyers(s): Marilyn Lea Brown
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Donald M. Macdonald
Hearing Site: Atlanta, GA
| | $0 |
| 09-00367 | 07/08/2009 | Claimant(s): Alan Gelband Co. Def. Contr. Pension Pla
Claimant Lawyers(s): Alan Gelband
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Edward G. Toptani
Hearing Site: New York, NY
| | $213 |
| 08-00319 | 07/06/2009 | Claimant(s): Christian Martin
Claimant Lawyers(s): Gregory Vidler
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Mark A. Nebrig
Arbitrator(s): Mary L. Merkle, Sandra J. Mullings, Richard Lee Mansdoerfer
Hearing Site: New York, NY
| | |
| 08-04235 | 07/06/2009 | Claimant(s): Joseph Messina
Claimant Lawyers(s): Joseph Messina
Respondent(s): Tradestation Securities.
Respondent Lawyers(s): Steven M. Greenbaum
Arbitrator(s): Herbert Branitsky
Hearing Site: Boca Raton, FL
| | $0 |
| 07-02635 | 07/02/2009 | Claimant(s): Wesley Rusch
Claimant Lawyers(s): Wesley A. Rusch
Respondent(s): Merriman Curhan Ford & Co.
Respondent Lawyers(s): Cathy L. Arias
Arbitrator(s): F. Conger Fawcett, Jonathan H. Krotinger, Sheldon Michaels
Hearing Site: San Francisco, CA
| | |
| 08-00869 | 07/02/2009 | Claimant(s): D. Blevins
Claimant Lawyers(s): James H. Penick
Respondent(s): Charles White, SAL Financial Services. d/b/a Stern, Sterne Agee & Leech.
Respondent Lawyers(s): Latanishia Watters
Arbitrator(s): David B. Coates, J. Maxwell Williams, William Wright Willis
Hearing Site: Little Rock, AR
| | |
| 08-02539 | 07/02/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Schuler
Respondent Lawyers(s): Michael Schuler
Arbitrator(s): C. Gregory Ellison, Gregory R. Banasz, Jason William Gaarder
Hearing Site: Baltimore, MD
| | |
