| 07-00542 | 05/28/2008 | Claimant(s): Andrew Haas
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael D. Schissel
Arbitrator(s): Victoria E. Johnson, Tina L. Mitchell, Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
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| 03-06938 | 05/06/2008 | Claimant(s): Carole Lane
Claimant Lawyers(s): Guy E. Mailly
Respondent(s): Clinton Maxwell, Ameriprise Financial Services., Louis Windawi
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Elizabeth A. Copley, Robert B. Moran, James M. Goldberg
Hearing Site: Los Angeles, CA
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| 07-00107 | 05/02/2008 | Claimant(s): Edward Satlin, Micah Scheinberg
Claimant Lawyers(s): Rodney J. Heggy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Jeffrey E. Skogsbergh, Robert Bruce MacDonald, David Nielsen
Hearing Site: Los Angeles, CA
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| 07-02281 | 04/18/2008 | Claimant(s): Paul Roupinian
Claimant Lawyers(s): Paul Edward Roupinian
Respondent(s): John Orr, UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer L. Nutter
Arbitrator(s): Theodore G. Bradpiece, Jerry Ellner, Steven J. Feldman
Hearing Site: Los Angeles, CA
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| 07-02163 | 04/17/2008 | Claimant(s): Raymond Stockus
Claimant Lawyers(s): Raymond James Stockus
Respondent(s): National Financial Services LLC, Brookstreet Securities Corporation
Respondent Lawyers(s): Donald S. Davidson, H Thomas Fehn
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
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| 06-04852 | 03/25/2008 | Claimant(s): Capitola Sommer
Claimant Lawyers(s): Richard J. Papst
Respondent(s): Edward Jones
Respondent Lawyers(s): Joseph B. Adams
Arbitrator(s): Howard A. Emirhanian, Mark S. Priver, Jerry Ellner
Hearing Site: Los Angeles, CA
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| 07-02274 | 03/20/2008 | Claimant(s): James Valentine
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): James Lundy, Jeffrey Jones, Karen Brandenburg, Matthew Boutte, Peter Carr, Sharon Boutte, The Kenneth Lynn Boutte Family Trust
Respondent Lawyers(s): D. Elizabeth Wills, James L. Lundy, Jeffrey F. Jones, Karen A. Brandenburg, Peter J. Carr
Arbitrator(s): Richard J. Stall, Kirtley M. Thiesmeyer, Russell T. Doe
Hearing Site: Los Angeles, CA
| | Expungement |
| 07-02304 | 03/20/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): David H.S. Commins
Respondent(s): Gregory Iglow
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Christine A. Page, Cynthia Ann Higgins, Christopher J. Rogers
Hearing Site: Los Angeles, CA
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| 01-02943 | 01/29/2008 | Claimant(s): William Erickson
Claimant Lawyers(s): Mary B. Erickson
Respondent(s): David Komansky, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Terry E. Sanchez
Arbitrator(s): Michael D. Donahue, Charles A. Graham, Grace L. Heyne
Hearing Site: Los Angeles, CA
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| 07-01174 | 01/09/2008 | Claimant(s): Laurie Lujan
Claimant Lawyers(s): Laurie Lujan
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Marcie S. Mintz
Arbitrator(s): Kelly A. Barker
Hearing Site: Los Angeles, CA
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