| 10-01700 | 08/04/2011 | Claimant(s): R. Emigh, R. Kent Emigh Trust dd 1/31/1986
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wedbush Securities Inc., Lisa Gallo
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Thomas C. McNally, Ralph A. Cotton, Louis Anthony Napoli
Hearing Site: San Francisco, CA
|  | $0 |
| 09-00562 | 07/12/2011 | Claimant(s): Stan Schuldiner
Claimant Lawyers(s): Stan Schuldiner
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): James J. Dougherty
Arbitrator(s): Harry B. Endsley, James S. Martin, Walter F. Dillaway
Hearing Site: San Francisco, CA
| | $0 |
| 10-02818 | 06/27/2011 | Claimant(s): Jane Wiborg, Lloyd Wiborg, Jane S. Wiborg Trust dtd 7/28/86
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): John K. Swearingen, Kenneth W. Gosliner, James Edward Forbes
Hearing Site: San Francisco, CA
| | $376,658 |
| 10-04053 | 06/06/2011 | Claimant(s): Chanht Reatrey KEO
Claimant Lawyers(s): Chanht Reatrey Keo
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Thomas J. LoSavio
Hearing Site: San Francisco, CA
| | $0 |
| 10-01145 | 05/27/2011 | Claimant(s): Jason H. Solomon and Janet Solomon Trust
Claimant Lawyers(s): Mitchell S. Ostwald
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Paul F. Faberman, Peter H. Daly, Herbert L. Brown
Hearing Site: San Francisco, CA
| | $428,800 |
| 09-06644 | 05/20/2011 | Claimant(s): G. Arnold Lawton, G. Arnold Lawton Trust dtd 3/11/04
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Wells Fargo Investments, Jack Wong
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Walter P. Hitchcock, Thomas H. O'Connor, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $0 |
| 09-05174 | 05/10/2011 | Claimant(s): Gary Sperber
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Harry Friedman, Lawrence Foont, Lawrence Kirshbaum, Prestige Financial Center.
Respondent Lawyers(s): Lawrence Gary Kirshbaum, Lawrence Foont, Michael P. Gilmore
Arbitrator(s): David H. S. Commins, David R. Finch, William W. Haskell
Hearing Site: San Francisco, CA
| | $1,800,250 |
| 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 |
| 09-06884 | 05/05/2011 | Claimant(s): Lillian Kazezski, Stanley Kazezski, Kazezski Revocable Trust DTD 9/26/90
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wedbush Securities Inc., Lisa Gallo
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Paul D. Gutierrez, Homer M. Dalbey, James Conrad Riewerts
Hearing Site: San Francisco, CA
| | $750,000 |
| 09-07154 | 05/05/2011 | Claimant(s): Beth Goldman, Jay Boekelheide, Beth M. Goldman IRA Rollover (1), Beth M. Goldman IRA Rollover (2), Jay Boekelheide Film KEOGH, Jay Boekelheide IRA, Goldman-Boekelheide Family Trust U/A 06/
Claimant Lawyers(s): Monika Pleyer Lee
Respondent(s): Phillip Cordano, Stewart Viets, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Emily Woods, Ralph Robinson
Arbitrator(s): Paul F. Faberman
Hearing Site: San Francisco, CA
| | $0 |
