| 12-02073 | 05/08/2015 | Claimant(s): Anthony DeLuca, Nicolinda De Luca
Claimant Lawyers(s): Charles M. Gibbs, Daniel B. Lipson
Respondent(s): Robert Tweed
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Victoria E. Johnson, James A. Sigler, Adam Michael Porter
Hearing Site: Los Angeles, CA
|  | $0 |
| 13-00532 | 04/16/2014 | Claimant(s): Lingo Family Trust
Claimant Lawyers(s): E. Anthony Reguero
Respondent(s): Jim Lund, Robert Tweed, Capwest Securities., United Securities Alliance.
Respondent Lawyers(s): Dale K. Hall, H Thomas Fehn, Michael Jones
Arbitrator(s): Herbert Leslie Greenberg, Joseph Winter, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | $0 |
| 11-00654 | 07/09/2012 | Claimant(s): Larry Haas, Roblar
Claimant Lawyers(s): Daniel A. Bakondi, Robert L. Gonser
Respondent(s): Anthony Thompson
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Thomas A. Culbertson, Paul E. Dahlman, George Frederick Garris
Hearing Site: Las Vegas, NV
| | $0 |
| 11-01909 | 05/25/2012 | Claimant(s): Rose Kramer, Stanley Kramer, DRG Hendersonville TIC 13 LLC, TIC Ren Meadowlands 31, Mayer & Rose Kramer Inter Vivos Trst Ame, Mayer & Rose Kramer Inter Vivos Trust
Claimant Lawyers(s): Jonah A. Toleno
Respondent(s): Amy Grindstaff, Dale Hall, David Smith, Jeffrey Pridey, Kathleen Heshelow, Larry Behrends, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities., MAM Securities
Respondent Lawyers(s): Corporate Officer, David L. Smith, H Thomas Fehn, Keith E. Grindstaff, Larry Ivan Behrends, Robert C. Rosen
Arbitrator(s): Vincent J. Natoli, Robert F. Saint-Aubin, W. Alex King
Hearing Site: Los Angeles, CA
| | $334,000 |
| 10-00603 | 11/29/2011 | Claimant(s): Jane Usher, Samuel Usher, Jackson A. Usher Custodial, Samuel T. Usher Custodial, Jane Ellison Usher Trust of Oct 20, 2000
Claimant Lawyers(s): Mark T. Drooks
Respondent(s): Bambi Holzer, Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee, H Thomas Fehn
Arbitrator(s): Kirtley M. Thiesmeyer, Holly Banafsheh, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | $1,405,390 |
| 10-03270 | 10/19/2011 | Claimant(s): Swedelson & Gottlieb Cash Balance Plan
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): Mitchell Pindus, RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Audrey H. Ruben, Catherine M. O'Brien, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | $10,000 |
| 10-03222 | 10/13/2011 | Claimant(s): Anthony Hanna, Debra Hanna, 2001 Anthony J. and Debra F. Revocable T
Claimant Lawyers(s): Irwin Stein
Respondent(s): Dale Hall, David Smith, Kathleen Heshelow, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities.
Respondent Lawyers(s): David L. Smith, H Thomas Fehn, Orly Davidi
Arbitrator(s): Alan Stamm, A. Joel Klein, Russell T. Doe
Hearing Site: Los Angeles, CA
| | $0 |
| 10-05749 | 10/11/2011 | Claimant(s): Joan Lane
Claimant Lawyers(s): William B. Hayes
Respondent(s): John Tyler, Capwest Securities.
Respondent Lawyers(s): Dale Hall, H Thomas Fehn
Arbitrator(s): Holly Stein Sollod, James B. Eichberg, Marilyn R. Lewis
Hearing Site: Denver, CO
| | $0 |
| 09-06787 | 07/25/2011 | Claimant(s): Jean Bernal, Jeannette McClennan, John McClennan, Manuel Bernal
Claimant Lawyers(s): Salvador Ongaro
Respondent(s): Attila Toth, Capwest Securities., Latitude Financial Services, Workman Securities Corporation
Respondent Lawyers(s): Attila Gyula Toth, Debra A. Jenks, H Thomas Fehn
Arbitrator(s): James E. Stark, Louis M. Parker, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $568,870 |
| 10-02336 | 05/06/2011 | Claimant(s): Roland Lee
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Patrick Burke, Capwest Securities.
Respondent Lawyers(s): H Thomas Fehn, Patrick Joseph Burke
Arbitrator(s): John J. Flynn, James D. Murray, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $600 |
