07-01411 | 06/02/2009 | Claimant(s): Steven Wierzba Claimant Lawyers(s): Steven Wierzba Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John E. Bersin Arbitrator(s): Ferdinand Schoch, Thomas H. O'Connor, Paul D. Gutierrez Hearing Site: San Francisco, CA
| | $0 |
08-02004 | 06/01/2009 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Jonathan E. Levine Respondent(s): Joseph Connor Respondent Lawyers(s): Joseph A. Connor Arbitrator(s): Susan A. Mathews, Baunita M. Greer, Jehangir Fuller Varzi Hearing Site: Washington, DC
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08-03288 | 06/01/2009 | Claimant(s): Edward Levy Claimant Lawyers(s): Curtis E. Pew Respondent(s): Trident Partners Ltd. Respondent Lawyers(s): William Quigley Arbitrator(s): Alun Hywel Jones Hearing Site: New York, NY
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08-00455 | 06/01/2009 | Claimant(s): David L. Woods and Twila R. Woods, Ttees Claimant Lawyers(s): K. Layne Morrill Respondent(s): Raymond Johnson, WFG Investments. Respondent Lawyers(s): Bradley J. Stevens, Paul J. Roshka Arbitrator(s): Philip B. Whitaker, Richard L. Merkel, Jeffrey Charles Young Hearing Site: Phoenix, AZ
| | $2,950,000 |
08-01846 | 06/01/2009 | Claimant(s): Janet Laird Claimant Lawyers(s): H Thomas Fehn Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Michael M. Gless Arbitrator(s): Ernest L. Burnside, George L. Tindall, Daniel R. Brush Hearing Site: Los Angeles, CA
| | $0 |
07-02662 | 05/29/2009 | Claimant(s): Murphy & Durieu Claimant Lawyers(s): James M. Moriarty Respondent(s): Cindy Dodeles, David Dodeles, J.P. Morgan Securities, Louis Cesario, RBC Capital Markets Corporation, Hamershlag, Dodeles & Co., Penson Financial Services. Respondent Lawyers(s): Cindy Dodeles, David S. Richan, Gene L. Small, Ivan Dodeles, Joseph F. Keenan, Louis Cesario Arbitrator(s): David S. Billet, Robert Pincus, Anthony J. Raimondi Hearing Site: New York, NY
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08-01182 | 05/29/2009 | Claimant(s): Thomas Moran Claimant Lawyers(s): Joshua S. Pinsky Respondent(s): Prudential Equity Group Respondent Lawyers(s): Kenneth Fuchs Arbitrator(s): David D. Cohen Hearing Site: Tampa, FL
| | Expungement |
08-01183 | 05/29/2009 | Claimant(s): Thomas Moran Claimant Lawyers(s): Joshua S. Pinsky Respondent(s): Prudential Equity Group Respondent Lawyers(s): Kenneth Fuchs Arbitrator(s): Hearing Site: Tampa, FL
| | Expungement |
07-03377 | 05/29/2009 | Claimant(s): Antonio Gonzalez Claimant Lawyers(s): Antonio M. Gonzalez Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Mai P. Klaassen Arbitrator(s): Larry Edmonson Hearing Site: Los Angeles, CA
| | $0 |
08-02118 | 05/29/2009 | Claimant(s): Gary L. Wilhelm, IRA Claimant Lawyers(s): Michael S. MacDonald Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Kelly J. Moynihan Arbitrator(s): Frederick Ramos Hearing Site: Minneapolis, MN
| | $14,570 |