| 12-00227 | 05/25/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Kevin Howard
Respondent Lawyers(s): D. Jonathan Hadaya
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
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| 11-00092 | 05/11/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Grant H. Dowd
Respondent(s): Tony Mingo
Respondent Lawyers(s): Tony F. Mingo
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
| | |
| 11-04599 | 05/02/2012 | Claimant(s): Helen Robinson, Helen T. Robinson Trust
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): John Schooler, Louis Schooler, Thomas Hanson, Tom English, Warren Horney, WFP Securities
Respondent Lawyers(s): Louis V. Schooler, Theodore Peters, Tom English
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 11-04099 | 04/13/2012 | Claimant(s): Christina Nielson
Claimant Lawyers(s): Rebecca E. MacLaren
Respondent(s): Charles Bigham
Respondent Lawyers(s): Paul W. Thomas
Arbitrator(s): Elliott Zachary Seff
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-00798 | 04/12/2012 | Claimant(s): Jefferies & Company.
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Alexander Kadish, Matthew Gorelik
Respondent Lawyers(s): Ryan D. Saba
Arbitrator(s): Robert D. Sussin, Suzanne Viau Chamberlain, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | |
| 09-03865 | 03/30/2012 | Claimant(s): Brandon Rockow
Claimant Lawyers(s): Brandon D. Rockow
Respondent(s): Jeffrey DiCarlo, Patrick DiCarlo, Channel Point Partners
Respondent Lawyers(s): Jeffrey DiCarlo
Arbitrator(s): Steven A. Wawra, Robert C. Albini, Randall N. Kirk
Hearing Site: Los Angeles, CA
| | |
| 11-03865 | 03/20/2012 | Claimant(s): Garrett Bland
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Michael Barker
Respondent Lawyers(s): Michael D. Barker
Arbitrator(s): David L. Maislen
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-03864 | 03/16/2012 | Claimant(s): Lisa Detanna
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Harriett Pitts, Thomas R. Pitts Trust
Respondent Lawyers(s): Harriett Pitts
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-03889 | 03/12/2012 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): Andrew Zicklin
Respondent Lawyers(s): Andrew Zicklin
Arbitrator(s): David Zollman, Arthur F. Brueggeman, Thomas Mason Harwood
Hearing Site: Los Angeles, CA
| | |
| 10-01435 | 03/09/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Donald Limacher
Respondent Lawyers(s): Randall J. Clement
Arbitrator(s): G. Thomas Fleming, Michael G. Clark, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
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