| 08-03042 | 05/29/2009 | Claimant(s): J. Ross, Richard Ross
Claimant Lawyers(s): Jeffrey S. Evans
Respondent(s): Chris Erlewine, Curtis Ritter, E*Trade Securities LLC, Rod Webb
Respondent Lawyers(s): John Bersin, Lonnie L. Simpson
Arbitrator(s): Mark A. Myers, Robert E. Graves, Jeff A. Weill
Hearing Site: Jackson, MS
|  | Stipulated Award and Expungement |
| 08-00029 | 05/29/2009 | Claimant(s): Craig Roberts, Pennie Roberts, Pennie L. Roberts Rev. Trust
Claimant Lawyers(s): A. Brian McIntosh
Respondent(s): Wachovia Securities, Patrick Sowers, Scottrade.
Respondent Lawyers(s): Andrew C. Small, Brent J. Burtin
Arbitrator(s): W. Pat Conners, John S. Weisheit, Edmund P. Pultinas
Hearing Site: Cincinnati, OH
| | $0 |
| 08-03052 | 05/29/2009 | Claimant(s): Thomas Cusack
Claimant Lawyers(s): John P. Connolly
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Mary E. Woytek, Michael H. McConihe, Wilson Thompson
Hearing Site: Washington, DC
| | $0 |
| 08-04581 | 05/28/2009 | Claimant(s): Stewart Mcfadden
Claimant Lawyers(s): Stewart McFadden
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): William F. Skewes
Hearing Site: Denver, CO
| | |
| 08-03651 | 05/28/2009 | Claimant(s): Joseph Gorman
Claimant Lawyers(s): Randall C. Place
Respondent(s): Morgan Stanley & Co., Mary Meeker
Respondent Lawyers(s): Jason E. Fedo
Arbitrator(s): Mark C. Perry, George G. Kurschner, Bruce M. Alster
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12504 |
| 09-00173 | 05/28/2009 | Claimant(s): Fred Yoshida Trustee of the Yoshida Trus
Claimant Lawyers(s): Fred Yoshida
Respondent(s): Dustin Buck, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Edwin C. Shiver
Hearing Site: San Francisco, CA
| | $0 |
| 07-02044 | 05/27/2009 | Claimant(s): Illan Kim, Jin Cha, Jun Kwon, Sang Kim, Paper Design Clothing., Chong Cha SEP IRA, Charles and Sara Cho, Jin O. Cha and Illan Kim, Terry and Chong M. Cha, Won P. Yim and Chong S. Yim
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): E1 Asset Management.
Respondent Lawyers(s): Edward J. Boyle
Arbitrator(s): James P. Murphy, Susan B. Gans-Smith, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $2,702,600 |
| 08-04627 | 05/27/2009 | Claimant(s): Don Stark
Claimant Lawyers(s): Don F. Stark
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): John D. Mattingly
Hearing Site: Memphis, TN
| | $8,213 |
| 08-01095 | 05/27/2009 | Claimant(s): Larry Hough
Claimant Lawyers(s): H. Naill Falls
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): David King
Arbitrator(s): Brendan E. Finucane, John G. Manley, Kevin Clark
Hearing Site: Nashville, TN
| | $0 |
| 08-01140 | 05/27/2009 | Claimant(s): Dennis Contois, Rose Contois, Contois Living Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Warren A. Forest, Susan Jefferbaum Beck
Hearing Site: Orlando, FL
| | $0 |
