| 08-02820 | 06/12/2009 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Robert Whidden
Respondent Lawyers(s): Allan Bloom
Arbitrator(s): Sheldon M. Jaffe, Michael D. Harrison, Steven J. Feldman
Hearing Site: Los Angeles, CA
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| 06-00240 | 06/10/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Patricia Tsipras
Respondent(s): Mark Rossel
Respondent Lawyers(s): Erwin J. Shustak
Arbitrator(s): Dean Schneider, Theresa Y. Hu, David S. Harrison
Hearing Site: Los Angeles, CA
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| 06-04407 | 06/03/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): David H. Smith
Respondent(s): David Bryant
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Donald T. Meder, Dorothy B. Strackbein, Robert Elman
Hearing Site: Los Angeles, CA
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| 08-02353 | 05/13/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Steven W. Brennan
Respondent(s): John Marrone
Respondent Lawyers(s): John Anthony Marrone
Arbitrator(s): Jeffrey E. Skogsbergh, Gerald C. Tambe, Edward Banian
Hearing Site: Los Angeles, CA
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| 08-00453 | 04/16/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): William Winston
Respondent Lawyers(s): Ethan Chernin
Arbitrator(s): Robert S. Fash, Kenneth I. Rosenblum, Ronald E. Ogden
Hearing Site: Los Angeles, CA
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| 06-04649 | 04/06/2009 | Claimant(s): Diane Brewer
Claimant Lawyers(s): Jules Leo Federman
Respondent(s): Keith Waibel, Timothy Tremblay
Respondent Lawyers(s): Jerry J. Howard, Robyn C. Crowther
Arbitrator(s): Karen A. Lockwood, Joseph C. Watson, Thomas R. Watkins
Hearing Site: Los Angeles, CA
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| 08-01713 | 03/27/2009 | Claimant(s): Geoffrey Church
Claimant Lawyers(s): Dudley Muth
Respondent(s): James Alexander
Respondent Lawyers(s): James Alexander
Arbitrator(s): Richard J. Stall, George L. Tindall, Bryan L. Herrmann
Hearing Site: Los Angeles, CA
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| 07-01196 | 03/20/2009 | Claimant(s): Gary Neiens
Claimant Lawyers(s): Maureen J. Duris
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Susan B. Gans-Smith, Ronald E. Malmfeldt, Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 07-03594 | 03/03/2009 | Claimant(s): Euro Pacific Capital.
Claimant Lawyers(s): John D. Pernick
Respondent(s): Kimberly Hardaker
Respondent Lawyers(s): Byron D. Groves
Arbitrator(s): Jonathan Schwartz, Mary M. O'Neil, Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 07-02096 | 02/17/2009 | Claimant(s): David Glazov
Claimant Lawyers(s): D. Aaron Brock
Respondent(s): Ameriprise Advisor Services., Robert Terry
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Mandel E. Himelstein, Harold K. Hunt, Dennis A. Torres
Hearing Site: Los Angeles, CA
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