| 10-05367 | 05/04/2012 | Claimant(s): William Condon
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Reuven Enterprises Sec. Division
Respondent Lawyers(s): Michael Huberman
Arbitrator(s): Robert W. Vernon, Anita Rae Shapiro, James M. Goldberg
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-03596 | 04/25/2012 | Claimant(s): Michael Shimon, Regina Shimon
Claimant Lawyers(s): Michael F. Shimon, Regina Ralene Shimon
Respondent(s): Craig Rumbaugh
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Nancy G. Harris
Hearing Site: Los Angeles, CA
| | $1,450 |
| 08-04526 | 04/24/2012 | Claimant(s): Dona Hannigan, Dona Lynn Hannigan Revocable Living Trus
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Christopher Ranney, Jennifer Himes, Kyle Kelly, Leia Farmer, Roxanne Brecek, Brecek & Young Advisors.
Respondent Lawyers(s): Elizabeth Lowery, Thomas J. Callaway
Arbitrator(s): George L. Tindall, Benjamin F. Breslauer, Valerie Lewis
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04559 | 04/23/2012 | Claimant(s): Leonard Narel, Linda Narel
Claimant Lawyers(s): Leonard Edward Narel
Respondent(s): Wayne Hummer Investments L.L.C.
Respondent Lawyers(s): Michael Waters
Arbitrator(s): Ralph H. Erickson
Hearing Site: Los Angeles, CA
| | $0 |
| 10-05751 | 04/12/2012 | Claimant(s): Ken Kragen
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Robert W. Vernon, William Lee Krantz, Michael John Florio
Hearing Site: Los Angeles, CA
| | $207,500 |
| 11-01676 | 04/11/2012 | Claimant(s): Gary Brown, Estelle Brown Trust
Claimant Lawyers(s): Ralph Rogari
Respondent(s): Barry Bayat, UBS Financial Services Inc.
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Steven A. Wawra, Mary K. Foust, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | $0 |
| 11-01218 | 04/05/2012 | Claimant(s): Robert Olson
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Michael Finnan, Paul Metz, Richard Pollan, Morgan Wilshire Securities.
Respondent Lawyers(s): Peter Dolan, Richard D. Pollan
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | $45,000 |
| 11-03699 | 04/04/2012 | Claimant(s): Vinita Wadhwani, Vishin Wadhwani
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Wendy Robinson
Arbitrator(s): Kirtley M. Thiesmeyer, Owen Frances, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 11-00479 | 03/29/2012 | Claimant(s): Mickey Schwarz, Mickey Schwarz IRA, The Schwarz Living Trust
Claimant Lawyers(s): Marc Schwarz, Mickey Schwarz
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Martin Olinick, Ronald L. Cameron, David W. Dresnick
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-04371 | 03/28/2012 | Claimant(s): Kelly Dunne
Claimant Lawyers(s): Charles W. Brower
Respondent(s): Russell Ruffino, Ruffino & Associates., Transamerica Financial Advisors.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Sandra L. Malek, John Alen DeRosa, David L. Maislen
Hearing Site: Los Angeles, CA
| | $0 |
