11-00428 | 07/13/2012 | Claimant(s): Lucie Falk, Joseph and Lucie Falk Trst uadtd 5/11/88 Claimant Lawyers(s): Lucie Falk Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Alejandro Schwed Arbitrator(s): Robert J. Ruben, John B. La Rue, Arthur T. Berggren Hearing Site: Los Angeles, CA
| | Expungement |
08-04100 | 03/14/2012 | Claimant(s): Scott Holt, Tracy Austin Claimant Lawyers(s): Steven M. Goldberg Respondent(s): Gary Fournier, Citigroup Global Markets. Respondent Lawyers(s): Michele R. Fron, William A. Hohauser Arbitrator(s): Robert D. Sussin, Jon A. Bostrom, Arthur T. Berggren Hearing Site: Los Angeles, CA
| | Expungement |
09-03094 | 07/05/2011 | Claimant(s): Rosen Capital Institutional LP, Rosen Capital Partners LP Claimant Lawyers(s): Harold Barza Respondent(s): Merrill Lynch Professional Clearing Corp Respondent Lawyers(s): Peter K. Vigeland Arbitrator(s): Arthur T. Berggren, Katharine Reed Coleman, Holly Banafsheh Hearing Site: Los Angeles, CA
| | $63,665,200 |
09-02990 | 05/17/2011 | Claimant(s): Sharon Metsch, Stephen Metsch Claimant Lawyers(s): Tanya Sacks Respondent(s): Clifford Gamble, Linda Sechser, Scott Hultsman Respondent Lawyers(s): Benjamin W. White, Linda Sechser, Scott Hultsman Arbitrator(s): Arthur T. Berggren, Debra Brothers Self, Ara Kassabian Hearing Site: Los Angeles, CA
| | $127,106 |
09-05630 | 03/25/2011 | Claimant(s): Exemption B-2 Wohl Family Trust, The Wohl Family Trust Claimant Lawyers(s): Steven L. Miller Respondent(s): Gregory Iglow, Oppenheimer & Co.., Michael Rosenmayer Respondent Lawyers(s): Ellen Sheridan-Cona Arbitrator(s): Neil S. Jasper, Arthur T. Berggren, Mason A. Dinehart Hearing Site: Los Angeles, CA
| | Expungement |
09-01937 | 08/16/2010 | Claimant(s): Rina Schwarz, Rina Schwarz Revocable 1996 Trust Claimant Lawyers(s): Jonathan W. Evans Respondent(s): Dusan Zachystal, Individual Asset Management, Interactive Brokers LLC Respondent Lawyers(s): Derek C. Anderson, Jeffrey D. Fox Arbitrator(s): Arthur T. Berggren, Mark A. Karpe, Arthur Alef Hearing Site: Los Angeles, CA
| | $0 |
08-03215 | 09/25/2009 | Claimant(s): The Nasatir Children's Trust Claimant Lawyers(s): Ryan K. Bakhtiari Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Stacey M. Garrett Arbitrator(s): Richard M. Leigh, Ronald L. Cameron, Arthur T. Berggren Hearing Site: Los Angeles, CA
| | $125,729 |
08-01074 | 04/14/2009 | Claimant(s): Patty Mattson Claimant Lawyers(s): Steve Buchwalter Respondent(s): Oppenheimer & Co.., Lawrence Goldstein, Ronald Gershon Respondent Lawyers(s): Mitchell J. Albert Arbitrator(s): Kenneth I. Rosenblum, Arthur T. Berggren, Eric Gad Forster Hearing Site: Los Angeles, CA
| | $22,000 |
07-01521 | 03/09/2009 | Claimant(s): Robert Shepherd Claimant Lawyers(s): Montgomery G. Griffin Respondent(s): Marshall Field, Emmett A Larkin Company., Southwest Securities. Respondent Lawyers(s): Brandon S. Reif, Jonathan D. Neerman, Marshall Field Arbitrator(s): William J. Adams, Arthur T. Berggren, Daniel R. Brush Hearing Site: Los Angeles, CA
| | Expungement |
03-09085 | 03/31/2008 | Claimant(s): Fred Lowenschuss, Laurance Lowenschuss, ENTERED IN ERROR, Alan Lowenschuss Trust UAD 1/24/89, Edward Lowenschuss Trust UAD 1/24/89 Claimant Lawyers(s): Edward Lowenschuss, Fred Lowenschuss Respondent(s): Sanford I. Weill, Citigroup Global Markets., Jack B. Grubman, John Hoffmann, Joseph Friedman, Kevin McCaffrey, Robert Waldman Respondent Lawyers(s): William F. Alderman Arbitrator(s): Michael W. Burnett, Erik R. Siering, Arthur T. Berggren Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |