| 12-03288 | 03/02/2015 | Claimant(s): Mohamed Ahmed, Mohamed Ahmed IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Tricor Financial
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Kelly K. Herren, Michael G. Clark, Paul E. Dahlman
Hearing Site: Las Vegas, NV
|  | $184,391 |
| 13-01837 | 01/02/2015 | Claimant(s): Belva Jeanne Shultz Revocable Trust, Karen K. Fry, Atty in Fact
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): John Thornes, Thornes & Associates. Invest Sec
Respondent Lawyers(s): John Thomas Thornes, Stephen M. Oliveira
Arbitrator(s): Michael G. Clark, Benjamin F. Breslauer, Michael John Florio
Hearing Site: Los Angeles, CA
| | $4,525,120 |
| 11-02468 | 06/16/2014 | Claimant(s): Pauline Allen, Pauline W. Allen Revocable Trust U/A 1/1
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Financial West Group, Edward Wentzheimer, UBS Financial Services Inc., M. Krasny, Marc Adelman, Mark Lewis
Respondent Lawyers(s): Amy B. Bard, Brent A. Burns, Ryan Probstfeld
Arbitrator(s): Michael G. Clark, CathyLyn Rossi, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-00925 | 10/29/2013 | Claimant(s): The M. Chandler Living Trust
Claimant Lawyers(s): Greg Hendrix
Respondent(s): Curtis Faulkner, RBC Capital Markets LLC
Respondent Lawyers(s): Carolyn Guy, Julie Thrall Burrow
Arbitrator(s): Michael G. Clark
Hearing Site: Portland, OR
| | Expungement |
| 12-02933 | 07/09/2013 | Claimant(s): Marianne Baldwin
Claimant Lawyers(s): Irwin Stein
Respondent(s): Mark Van Mourick, Gramercy Securities., Optivest.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michael G. Clark, Christopher J. Rogers, Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02431 | 12/20/2012 | Claimant(s): Irvin Welch
Claimant Lawyers(s): Jan Graham
Respondent(s): Wachovia Securities, Dwayne Alpers, Louis Navellier
Respondent Lawyers(s): Joseph E. Floren, Philip A. McLeod
Arbitrator(s): George J. Karlsven, Joan M. Traub, Michael G. Clark
Hearing Site: Salt Lake City, UT
| | Expungement |
| 10-03384 | 12/09/2011 | Claimant(s): Daniel Dean, Judy Joachimi, Norman Marik, Patricia Hendricks, Carroll L. Joachimi, Thomas R. Dew
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Marvin J. Klein, Michael G. Clark, Nicholas Jason Enoch
Hearing Site: Nashville, TN
| | $48,260 |
| 09-05396 | 04/13/2011 | Claimant(s): NNN Aventura Harbor 14 LLC, The Revocable Living Trust of Edward and
Claimant Lawyers(s): David Liebrader
Respondent(s): Jeffrey Gurman, Woodbury Financial Services.
Respondent Lawyers(s): Jesse Linebaugh, Ryan D. Harvey
Arbitrator(s): Dean Schneider, Michael G. Clark, Melvin S. Feldman
Hearing Site: Los Angeles, CA
| | $605,750 |
| 09-06316 | 02/07/2011 | Claimant(s): Joseph J. Bevilacqua Trust dtd 7/07/1999
Claimant Lawyers(s): Robert C. Chandler
Respondent(s): Wells Fargo Investments, Thoeurn Indy
Respondent Lawyers(s): Mavish Z. Madad
Arbitrator(s): Michael G. Clark
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-01667 | 05/03/2010 | Claimant(s): Esther J. Aboud IRA Account, The 2000 Esther Aboud Revocable Trust
Claimant Lawyers(s): Esther J. Aboud
Respondent(s): Wachovia Securities, James Wheat
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Roberta Haft, Milton C. Bennett, Michael G. Clark
Hearing Site: Los Angeles, CA
| | $0 |
