| 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
| | |
| 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
| | |
| 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
| | |
| 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 |
