| 11-01302 | 11/07/2013 | Claimant(s): Karen Roberts
Claimant Lawyers(s): Mark Hunter
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Elizabeth E. Moum
Arbitrator(s): Ilisa J. Smukler
Hearing Site: Boca Raton, FL
|  | Expungement |
| 09-07182 | 09/11/2013 | Claimant(s): Bernard Reznick, Betty Feurring, Brian Schmier, Brian Wynn, Bruce Bartley, Charles Marqusee, Douglas Feurring, Ellen Schmier, Emily Feurring, Helga Marqusee, Jamie Rosemurgy, Linda Schmier, Michal Utterback, Robert Schmier, Ross Feurring, Sam Lee, Sonya Utterback, Feurring Family Limited Partnership, 3 Schmiers Investment Trust LLC, Douglas R. Feurring Revocable Trust, et al
Claimant Lawyers(s): Gary A. Praglin
Respondent(s): Bruce Treitman, Christopher Frank, Deutsche Bank Securities., Henry Persons, Jon Javellana, Kenneth Ro
Respondent Lawyers(s): Jason R. Lindsay, Mark Parmelee, Paul J. Schumacher, Toby Soli, William D. Briendel
Arbitrator(s): James R. Duncan, Neil S. Jasper, Ralph B. Perry
Hearing Site: Los Angeles, CA
| | $180,000 |
| 12-03171 | 06/03/2013 | Claimant(s): Mark Klopfenstein, Molly Klopfenstein, TranStar Capital Ventures LLC
Claimant Lawyers(s): Robert K. Crowe
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Harry G. Mason, Robert A. Dean, Osei J Adoma
Hearing Site: Atlanta, GA
| | Dismissed by Rule 12206/12504 |
| 11-02623 | 02/12/2013 | Claimant(s): Michael Myers, Susan Myers, Michael F. Myers MA Trust dtd 10/23/08, Michael F. Myers MA Trust dtd 12/3/08, Susan K. Myers Living Trust dtd 1/8/01, Susan Myers MA Trust dtd 7/11/08
Claimant Lawyers(s): Charles N. Freiberg
Respondent(s): Deutsche Bank Securities., Oppenheimer & Co.., Karl Hahn
Respondent Lawyers(s): Allan N. Taffet, Karl E. Hahn, Philip A. McLeod
Arbitrator(s): Linda M. Deola, Jonathan H. Krotinger, Susan J. Alexander
Hearing Site: San Francisco, CA
| | $934,193 |
| 10-04743 | 02/06/2013 | Claimant(s): Schultze Asset Management, Schultze Master Fund, Ltd
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Sandra Gale Behrle, David I. Goldblatt, Alan Gradzki
Hearing Site: New York, NY
| | $0 |
| 09-03871 | 02/04/2013 | Claimant(s): Xiaohua Qu
Claimant Lawyers(s): Michael J. Maloney
Respondent(s): Deutsche Bank Securities., William Svoboda
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Michelle Judy Brant, Richard B. Bullock
Hearing Site: San Francisco, CA
| | Expungement |
| 10-05786 | 01/14/2013 | Claimant(s): Charles Heckert, Janice Heckert, Heckert Contruction Co.
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Bruce Treitman, Deutsche Bank Securities.
Respondent Lawyers(s): Mark Parmelee
Arbitrator(s): Patricia M. Bottoms, John R. Loss, Michael Braude
Hearing Site: Kansas City, MO
| | Expungement |
| 11-02603 | 10/19/2012 | Claimant(s): Maria Collado
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Deutsche Bank Securities., Kevin Gai
Respondent Lawyers(s): Elizabeth E. Moum
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | $0 |
| 09-05762 | 08/16/2011 | Claimant(s): Michael Young
Claimant Lawyers(s): Paula D. Shaffner
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Jason Fedo
Arbitrator(s): Kathleen K. Murphy, Edward F. Koren, James T. McLaughlin
Hearing Site: Philadelphia, PA
| | $804,450 |
| 09-01469 | 05/03/2011 | Claimant(s): Dwight Manley
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Walter S. Weiss, Frederick N. Bailard, Paul H. White
Hearing Site: Los Angeles, CA
| | $0 |
