| 11-00517 | 08/17/2012 | Claimant(s): David Olson
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): Thomas Fife, Associated Securities Corp.
Respondent Lawyers(s): David S. Markun
Arbitrator(s): Benjamin F. Breslauer, Robert F. Saint-Aubin, Alfred S. Samulon
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-01582 | 08/06/2012 | Claimant(s): Shirley Edwards
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): R.W. Towt & Associates
Respondent Lawyers(s): Raymond Prazen
Arbitrator(s): Larry Haugaard, Thomas A. Culbertson, Robert Rosen
Hearing Site: Los Angeles, CA
| | $135,000 |
| 11-03337 | 08/06/2012 | Claimant(s): Matthias Hong
Claimant Lawyers(s): Matthias Hong
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Bradford Jacobowitz
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | $163 |
| 11-03007 | 07/26/2012 | Claimant(s): Linda Baker, Thomas Baker
Claimant Lawyers(s): C. Maison Heidelberg, Ginny Y. Kennedy
Respondent(s): Wachovia Securities Financial Network, Wachovia Securities
Respondent Lawyers(s): David A. Picon, Erin Durba
Arbitrator(s): Robert D. Sussin, John E. Ohashi, Randall N. Kirk
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 10-02633 | 07/16/2012 | Claimant(s): Alvaro Castro, Patricia Castro, The Castro Family Trust
Claimant Lawyers(s): Irwin Stein, Timothy A. Canning
Respondent(s): Jim Lund, Michelle Langer, Robert Tweed, Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): David J. Anderson, Melvin S. Feldman, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | $156,250 |
| 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 |
| 12-00042 | 07/06/2012 | Claimant(s): Glenda Callanen
Claimant Lawyers(s): Glenda G. Callanen
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jack G. Lerner
Arbitrator(s): Robert W. Vernon
Hearing Site: Los Angeles, CA
| | $4,575 |
| 11-04551 | 07/06/2012 | Claimant(s): Ning Hu
Claimant Lawyers(s): Ning Hu
Respondent(s): Leo Chien
Respondent Lawyers(s): Leo Li-yuan Chien
Arbitrator(s): Victoria E. Johnson
Hearing Site: Los Angeles, CA
| | $33 |
| 11-01537 | 07/02/2012 | Claimant(s): Isabella Grace
Claimant Lawyers(s): Isabella Grace
Respondent(s): UBS Financial Services Inc., Robert Higgins
Respondent Lawyers(s): Stefanie M. Wayco
Arbitrator(s): Thomas A. Culbertson, William E. Schneider, Brent Eric Zepke
Hearing Site: Los Angeles, CA
| | $375 |
| 12-00061 | 06/29/2012 | Claimant(s): Jane C L Goichman Rollover IRA, Henry and Jane Goichman Trust
Claimant Lawyers(s): Jane C. L. Goichman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Diana H. Sur
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $22,524 |
