| 09-04522 | 08/26/2011 | Claimant(s): Rick Cooper, Estate of Lauretta Kupperman, Kupperman Family Limited Partnership
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): Wedbush Securities Inc., Debbie Saleh, Edward Wedbush
Respondent Lawyers(s): Charles LaChaussee, Debbie Michelle Saleh
Arbitrator(s): Howard B. Brown, Linda L. Drummond, Robert C. Albini
Hearing Site: Los Angeles, CA
|  | $2,865,880 |
| 11-00266 | 08/26/2011 | Claimant(s): Olivier Fortis
Claimant Lawyers(s): Olivier Fortis
Respondent(s): Judith Woodhouse
Respondent Lawyers(s): Judith Louise Woodhouse
Arbitrator(s): Janice A. Salter
Hearing Site: Los Angeles, CA
| | $0 |
| 11-01712 | 08/23/2011 | Claimant(s): Carl Neuss, Carla Neuss, Elaine Neuss, Hitching Rail Investors, One Westheimer Investors, LTD DBPP, Pacific Venture Associates Inc. DBPP, Pacific Ventures Associates., Pacific Ventures Associates. 401K, Alex Neuss UTMA, Carla Neuss UTMA, Rebecca Neuss UTMA, Carl F. Neuss Beneficiary IRA, Carl F. Neuss IRA, Elaine P. Neuss IRA, Neuss Family Trust, Prairiestone Investment Trust
Claimant Lawyers(s): Martin B. Greenbaum
Respondent(s): John Evans
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert D. Sussin, Robert C. Albini, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-06722 | 08/02/2011 | Claimant(s): Lon Isaacson, Michael Trerotola, Stephen Trerotola, Lon B. Isaacson Associates
Claimant Lawyers(s): Lon B. Isaacson
Respondent(s): UBS Securities LLC, James Shelburne, Joseph Sulentor, UBS Financial Services Inc., Michael Ladge, Richard Frankel, Shawn Patt, UBS AG
Respondent Lawyers(s): Jeffrey W. Kramer, Kendra Canape
Arbitrator(s): Michael D. Harrison, Robert Elman, W. Alex King
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-01450 | 08/01/2011 | Claimant(s): Judith Malone
Claimant Lawyers(s): Russ E. Boltz
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Chester L. Firestein, Robert A. Lombardi, Robert Weston Armstrong
Hearing Site: Los Angeles, CA
| | $49,976 |
| 10-01449 | 07/20/2011 | Claimant(s): Lang Velka, Philip Velka
Claimant Lawyers(s): Lang Velka, Philip Velka
Respondent(s): Christopher Beckett, James Orr, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Audrey H. Ruben
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-01641 | 07/20/2011 | Claimant(s): Kurt Bochner, Bochner Oakwood Plaza LLC, Kurt Bochner K.B. Trust LLC
Claimant Lawyers(s): David Liebrader
Respondent(s): Kenneth Mcdonald, Crown Capital Securities L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Philip W. Burge, Elliott Zachary Seff, Donald A. Duncan
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-07101 | 07/15/2011 | Claimant(s): Pamela Brown, The Brown Revocable Living Trust
Claimant Lawyers(s): Daniel W. Dunbar
Respondent(s): Wells Fargo Investments, Patrick Vance
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Elliott Zachary Seff, Sharon Bruno, Janice A. Salter
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-03480 | 07/15/2011 | Claimant(s): Nick Shahrestany, Milan Investments
Claimant Lawyers(s): Kevin Gerry
Respondent(s): Brian Murphy, Morgan Stanley
Respondent Lawyers(s): Jonathan D. Robbins
Arbitrator(s): Robert A. Lombardi, Kirtley M. Thiesmeyer, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
| 09-06493 | 07/13/2011 | Claimant(s): Richard Orkin, DOCSI LLC, f/k/a DOCSI Corp., The DOCSI Corp. PSP dtd 09/01/91, The DOCSI Corp. Profit Sharing Plan
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Michele R. Fron
Arbitrator(s): Steven Gourley, Gerald C. Tambe, Daniel David Kopman
Hearing Site: Los Angeles, CA
| | Expungement |
