| 10-02632 | 01/06/2012 | Claimant(s): Kline Enterprises.
Claimant Lawyers(s): Richard M. Layne
Respondent(s): Securities America., Thomas Goodson, William Rice, Brecek & Young Advisors.
Respondent Lawyers(s): Brandon S. Reif, Chad E. Weaver, Terrance DeWald
Arbitrator(s): Ferdinand Schoch, Alexandra M. Linden, Fern M. Laethem
Hearing Site: Los Angeles, CA
|  | $0 |
| 10-05029 | 01/03/2012 | Claimant(s): Frank Tysen
Claimant Lawyers(s): Timothy Feil
Respondent(s): Lawrence Kirshbaum, Prestige Financial Center.
Respondent Lawyers(s): Larry Kirshbaum, Lawrence Gary Kirshbaum
Arbitrator(s): Larry Edmonson
Hearing Site: Los Angeles, CA
| | $60,469 |
| 10-00508 | 12/30/2011 | Claimant(s): Christiane Rocco, Michael Rocco
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Debra Reda-Cappos, Crowell, Weedon & Co., Seidler Holdings., The Seidler Companies Incorporated
Respondent Lawyers(s): G. Thomas Fleming, Peter Brown Dolan
Arbitrator(s): Daniel David Kopman, Norman Michael Garland, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-05548 | 12/19/2011 | Claimant(s): Jack Immel, Valerie Immel, Jack F. Immel, IRA, Valerie R. Immel
Claimant Lawyers(s): David Harrison
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-00502 | 12/13/2011 | Claimant(s): Carmela Di Gregorio
Claimant Lawyers(s): Thomas R. Catanese
Respondent(s): Oppenheimer & Co.., Ronald Kunze
Respondent Lawyers(s): Diana H. Sur, Robert J. Girard
Arbitrator(s): John E. Ohashi, Elizabeth A. Copley, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-02387 | 12/12/2011 | Claimant(s): Ellen Foster
Claimant Lawyers(s): Leonard Steiner
Respondent(s): Matthew Jennings, Thomas Savino, Wayne Leffler
Respondent Lawyers(s): John P. Girarde, Thomas Walter Savino
Arbitrator(s): Jerry Ellner, Robert Elman, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 09-02672 | 11/29/2011 | Claimant(s): James Carter, James A. and Annette Carter Charitable R
Claimant Lawyers(s): Brett Alcala
Respondent(s): Blair Mielke, First Allied Securities.
Respondent Lawyers(s): James M. Grady, Matthew D Watkins
Arbitrator(s): Ralph H. Erickson, Jeffrey E. Skogsbergh, William Lee Krantz
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 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 |
| 09-02583 | 11/29/2011 | Claimant(s): Jose Castaneda, Felicitas Castaneda
Claimant Lawyers(s): Jose Castaneda
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Erik R. Siering, David L. Maislen, Henry Marris Wollman
Hearing Site: Los Angeles, CA
| | $0 |
| 10-02979 | 11/18/2011 | Claimant(s): Robert Stafford
Claimant Lawyers(s): Paul S. Chan, Roger H. Foster
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): Elliott Zachary Seff, Willard H. Altman, Chuba B. Abaelu
Hearing Site: Los Angeles, CA
| | $0 |
