| 10-05814 | 02/24/2012 | Claimant(s): Janice Carkeek, Janice Carkeek IRA, Janice A. Carkeek Revocable Trust U/A/D
Claimant Lawyers(s): Alan L. Sachs
Respondent(s): Jeremy Kisner, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman, G. Thomas Fleming
Arbitrator(s): James H. McAvoy, Melvin S. Feldman, Daniel Clay McGuire
Hearing Site: Las Vegas, NV
|  | $31,768 |
| 09-03569 | 01/20/2012 | Claimant(s): Lyle W. Swenson, Jr. & Michelle Swenson
Claimant Lawyers(s): Peter K. Rundle
Respondent(s): Wachovia Securities, Craig Riley
Respondent Lawyers(s): Craig Alan Riley, G. Thomas Fleming
Arbitrator(s): Robert A. Lombardi, Kenneth E. Kreh, Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $0 |
| 10-00508 | 12/30/2011 | Claimant(s): Christiane Rocco, Michael Rocco
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Debra Reda-Cappos, Crowell, Weedon & Co., Seidler Holdings., The Seidler Companies Incorporated
Respondent Lawyers(s): G. Thomas Fleming, Peter Brown Dolan
Arbitrator(s): Daniel David Kopman, Norman Michael Garland, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04062 | 12/06/2011 | Claimant(s): Mary Iandiorio, Mary Ann Iandiorio Trust
Claimant Lawyers(s): Brett Alcala
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Frank R Weaver, Linda M. McCoy, Martin Joel Fassler
Hearing Site: San Francisco, CA
| | Expungement |
| 10-01320 | 09/06/2011 | Claimant(s): Carl Neuss, Carla Neuss, Elaine Neuss, Hitching Rail Investors, One Westheimer Investors, LTD, DBPP, Pacific Venture Associates Inc. DBPP, Pacific Ventures Associates., Alex Neuss UTMA, Carla Neuss UTMA, Rebecca Neuss UTMA, Carl F. Neuss Beneficiary IRA, Carl F. Neuss IRA, Elaine P. Neuss IRA, Pacific Ventures Asso. 401K, Neuss Family Trust, Prairiestone Investment Trust
Claimant Lawyers(s): Martin B. Greenbaum, Michael Hume
Respondent(s): Wells Fargo Investments, John Milia, Michael Gates
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert D. Sussin, Robert C. Albini, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-03343 | 08/31/2011 | Claimant(s): The Becker Family Trust dtd 10/10/98
Claimant Lawyers(s): Robert A. Lisnow
Respondent(s): Andrew Melikidse, Sagepoint Financial.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Martin Mandel, Robert S. Fash, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-01712 | 08/23/2011 | Claimant(s): Carl Neuss, Carla Neuss, Elaine Neuss, Hitching Rail Investors, One Westheimer Investors, LTD DBPP, Pacific Venture Associates Inc. DBPP, Pacific Ventures Associates., Pacific Ventures Associates. 401K, Alex Neuss UTMA, Carla Neuss UTMA, Rebecca Neuss UTMA, Carl F. Neuss Beneficiary IRA, Carl F. Neuss IRA, Elaine P. Neuss IRA, Neuss Family Trust, Prairiestone Investment Trust
Claimant Lawyers(s): Martin B. Greenbaum
Respondent(s): John Evans
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert D. Sussin, Robert C. Albini, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-03016 | 07/19/2011 | Claimant(s): Vickie Parrish, EB and Vickie Tedesco Family Trust
Claimant Lawyers(s): David Liebrader
Respondent(s): Wells Fargo Investments, Jon Erickson, Patricia Fontan-Sorlie
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Laurel Littman Gothelf, Dean C. Abraham, Dee Newell
Hearing Site: Las Vegas, NV
| | Expungement |
| 09-07101 | 07/15/2011 | Claimant(s): Pamela Brown, The Brown Revocable Living Trust
Claimant Lawyers(s): Daniel W. Dunbar
Respondent(s): Wells Fargo Investments, Patrick Vance
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Elliott Zachary Seff, Sharon Bruno, Janice A. Salter
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-06555 | 02/14/2011 | Claimant(s): Robert N. Stephens Living Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): UnionBanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Richard M. Norman, Robert C. Albini, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | Expungement |
