| 11-03340 | 03/23/2012 | Claimant(s): Patricia Towler
Claimant Lawyers(s): Patricia Ann Towler
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Vanessa M. Hoffman
Arbitrator(s): David W. Casey
Hearing Site: Los Angeles, CA
|  | $5,325 |
| 11-02733 | 03/21/2012 | Claimant(s): Jill Carter
Claimant Lawyers(s): Jon E. Drucker
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Brian Harlan
Arbitrator(s): Vaughn Thomas Hale, Roberta Haft, Ted Paul Comfort
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04587 | 03/19/2012 | Claimant(s): Darlene Peterson, Karen Labuda, Sherry Leach-Warth
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Sandra L. Malek, Laurent C. Vonderweidt, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
| | $1,403,500 |
| 08-04100 | 03/14/2012 | Claimant(s): Scott Holt, Tracy Austin
Claimant Lawyers(s): Steven M. Goldberg
Respondent(s): Gary Fournier, Citigroup Global Markets.
Respondent Lawyers(s): Michele R. Fron, William A. Hohauser
Arbitrator(s): Robert D. Sussin, Jon A. Bostrom, Arthur T. Berggren
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-01054 | 03/12/2012 | Claimant(s): California State Teachers' Retirement Sy
Claimant Lawyers(s): Thomas D. Long
Respondent(s): Michelle Morton, Pacific American Securities
Respondent Lawyers(s): Larry A. Walraven, Nicole E. Wurscher
Arbitrator(s): Mary L. Williams, Harold K. Hunt, James M. Goldberg
Hearing Site: Los Angeles, CA
| | $113,600 |
| 10-04475 | 03/02/2012 | Claimant(s): Lanfive Associates, A Partnership, Lani McKinley Trust u/t/d 8/28/2007
Claimant Lawyers(s): Barry P. King
Respondent(s): Stifel, Nicolaus & Co.., Manuel Lozano, Raymond Reed
Respondent Lawyers(s): Chad Weaver, James C. Browning
Arbitrator(s): Robert W. Vernon, Robert Bruce MacDonald, Suzanne Viau Chamberlain
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-00507 | 03/01/2012 | Claimant(s): Jaimie Davis
Claimant Lawyers(s): Jaimie Davis
Respondent(s): Curtis Sathre, John Schooler, WFP Securities
Respondent Lawyers(s): Brandon Reif
Arbitrator(s): Gerald C. Tambe, Judith Porter, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04851 | 03/01/2012 | Claimant(s): Susan Jenkins
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Crowell, Weedon & Co.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Robert J. Ruben
Hearing Site: Los Angeles, CA
| | $35,513 |
| 10-04022 | 02/28/2012 | Claimant(s): Andrew Vogelbach, Karl Vogelbach, Karl Heinrich Vogelbach MD MPP & Trust U, Karl HeinrichVogelback MD MNY Prchse PL
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): Jens Spitta, Quincy Cass Associatesorporated
Respondent Lawyers(s): Sylvia M. Scott
Arbitrator(s): David W. Dresnick, Kendall C. Reed, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | $0 |
| 11-03380 | 02/28/2012 | Claimant(s): Xinyi Guo
Claimant Lawyers(s): Xinyi Guo
Respondent(s): Ivy Tam, MITAA Global Securities
Respondent Lawyers(s): Ivy Waiwan Tam, Marc A. Oliver
Arbitrator(s): Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | $213 |
