| 09-05113 | 11/14/2011 | Claimant(s): Ian Harrison, Margaret Harrison, Harrison Family Trust
Claimant Lawyers(s): Patrick Baldwin
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
|  | $0 |
| 09-06463 | 11/11/2011 | Claimant(s): Charles Young, Charles J. Young DDS Inc. PSP
Claimant Lawyers(s): Michael Blumenfeld, Robert Girard
Respondent(s): Gordon Carlson
Respondent Lawyers(s): Kevin L. Wheeler
Arbitrator(s): James A. Sigler, Henry Marris Wollman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-04776 | 11/10/2011 | Claimant(s): Dudley Pepp
Claimant Lawyers(s): Michael St. Denis
Respondent(s): Bertrand Ginsberg, Russell Grossman, Sandra Morelli, Alliancebernstein Investments., Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Erik R. Siering, Robert E. Lawson, Robert Edward Koondel
Hearing Site: Los Angeles, CA
| | $0 |
| 09-06200 | 11/04/2011 | Claimant(s): Michael Padilla, PTC Acquisitions
Claimant Lawyers(s): David Darnell
Respondent(s): Citigroup Global Markets., Morgan Stanley, Nat Di Carlo, Robert Martensen, Smith Barney, Smith Barney Consulting Group, The Catalina Group
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Dorothy B. Strackbein, David W. Dresnick, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $0 |
| 08-01651 | 11/02/2011 | Claimant(s): Tule River Tribal Council, Tule River Tribe of the Tule River Reser
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): Bernard Machlovitch, Erin Callan, Frederick Frank, Hans Maentz, Howard Clark, Howard Plotkin, Mark Connally, Michael Drago, Peter Coleman, Richard Fuld, Scott Freidheim, Thomas Cruikshank, Thomas Russo
Respondent Lawyers(s): James G. Kreissman, Kathleen N. Massey, Ronald E. Wood, Todd S. Fishman
Arbitrator(s): James H. Frank, Robert P. Clifford, Edward A. Trabin
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-01545 | 11/02/2011 | Claimant(s): Glenna Maguire, Glenna L. Maguire Trust UTD 7/26/07
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): Wedbush Securities Inc., George Dahl
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): John Alen DeRosa, Robert E. Lawson, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $12,500 |
| 10-04932 | 10/27/2011 | Claimant(s): Jayne Dressor, Marissa Dressor
Claimant Lawyers(s): Jayne Dressor
Respondent(s): World Group Securities.
Respondent Lawyers(s): Robert G. Brunton
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 11-00110 | 10/25/2011 | Claimant(s): Jane Galvan, Jane Galvan Trust
Claimant Lawyers(s): Donald L. Saltzman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Barton Wayne Cox
Arbitrator(s): Madeleine Kleinman, Joyce L. Hurley, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-05572 | 10/20/2011 | Claimant(s): James Towery
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Prestige Financial Center.
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
| | $163,343 |
| 10-03270 | 10/19/2011 | Claimant(s): Swedelson & Gottlieb Cash Balance Plan
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): Mitchell Pindus, RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Audrey H. Ruben, Catherine M. O'Brien, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | $10,000 |
