| 10-04733 | 05/08/2012 | Claimant(s): NAK Investments
Claimant Lawyers(s): Philip W. Bartenetti
Respondent(s): Hormoz Saleh, UBS Financial Services Inc.
Respondent Lawyers(s): Steve Young
Arbitrator(s): Robert W. Vernon, Troy C. Sumrall, James Belk
Hearing Site: Los Angeles, CA
|  | Expungement |
| 08-02452 | 07/24/2009 | Claimant(s): Liem Leigh
Claimant Lawyers(s): Liem Leigh
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Richard J. Stall, Troy C. Sumrall, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $0 |
| 08-00294 | 02/23/2009 | Claimant(s): Richard Rovnick, Robert Kotler, Robert Lubar, Ronald Sheldon, Sidney Oko, Drs. Adilman,Katin,Lubar Ltd. Profit Shr, M.D.. Profit Sharing, Ronald Sheldon Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Andrew Shapiro, Donald Hunter, Edward Taylor, Gregory Martino, Michael Baker, Westrock Advisors.
Respondent Lawyers(s): Robert a. Giacovas
Arbitrator(s): Vincent J. Natoli, Michael M. Hachigian, Troy C. Sumrall
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 07-00417 | 11/12/2007 | Claimant(s): Elizabeth Bondoc
Claimant Lawyers(s): Neda Ataie
Respondent(s): Wachovia Securities, Stephen Wilson
Respondent Lawyers(s): Peter Brown Dolan, Ryan P. Smith
Arbitrator(s): William E. Winfield, Troy C. Sumrall, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $13,713 |
