| 10-03809 | 05/03/2011 | Claimant(s): Richard Brownstein
Claimant Lawyers(s): Richard J. Brownstein
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Jill Y. Coen
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
|  | $9,357 |
| 09-01469 | 05/03/2011 | Claimant(s): Dwight Manley
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Walter S. Weiss, Frederick N. Bailard, Paul H. White
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04436 | 05/03/2011 | Claimant(s): Michael McCarthy
Claimant Lawyers(s): Michael J. McCarthy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): James A. Sigler
Hearing Site: Los Angeles, CA
| | $0 |
| 10-05353 | 04/28/2011 | Claimant(s): Donald Toussaint
Claimant Lawyers(s): Donald R. Toussaint
Respondent(s): BNY Mellon Securities LLC
Respondent Lawyers(s): Alexander H. Shapiro
Arbitrator(s): Martin Mandel
Hearing Site: Los Angeles, CA
| | $2,431 |
| 10-01192 | 04/27/2011 | Claimant(s): The Wright Family Living Trust
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): John Marshall, Rollance Verkennis, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Joseph C. Campo
Arbitrator(s): Alan Stamm, Thomas W. Gregory, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | $1,761,100 |
| 10-01085 | 04/26/2011 | Claimant(s): John Mason
Claimant Lawyers(s): John A. Mason
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): John E. Ohashi, Harold K. Hunt, Mark A. Levy
Hearing Site: Los Angeles, CA
| | $13,000 |
| 09-06647 | 04/18/2011 | Claimant(s): Edward Gilbert, Laurie Knapp, Robin Thomas, Rosemary Gilbert, The Edward S. Gilbert Jr. IRA, The Laurie Knapp IRA, The Rosemary M. Gilbert IRA, Gilbert Revocable Trust dtd 12/20/2000, The Robin Gayle Wood Revocable Trust
Claimant Lawyers(s): Laurie Knapp, Robin Thomas, Rosemary Gilbert
Respondent(s): Charles DeLao, Douglas Schriner, Stephen Hrynik, Harrison Douglas.
Respondent Lawyers(s): Charles E. DeLao, Douglas W. Schriner, Stephen J. Hrynik
Arbitrator(s): Grace L. Heyne, Benjamin F. Breslauer, Norman Cousins Sasamori
Hearing Site: Los Angeles, CA
| | $200,600 |
| 09-02121 | 04/18/2011 | Claimant(s): Carolyn Turner
Claimant Lawyers(s): Leo Federman
Respondent(s): Robert Osur, Centaurus Financial.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Michael R. Mitchell, Jerry Ellner, Carol Jeanne Medof
Hearing Site: Los Angeles, CA
| | $0 |
| 09-05396 | 04/13/2011 | Claimant(s): NNN Aventura Harbor 14 LLC, The Revocable Living Trust of Edward and
Claimant Lawyers(s): David Liebrader
Respondent(s): Jeffrey Gurman, Woodbury Financial Services.
Respondent Lawyers(s): Jesse Linebaugh, Ryan D. Harvey
Arbitrator(s): Dean Schneider, Michael G. Clark, Melvin S. Feldman
Hearing Site: Los Angeles, CA
| | $605,750 |
| 10-02481 | 04/11/2011 | Claimant(s): Patricia Plesh
Claimant Lawyers(s): Patricia J. Plesh
Respondent(s): Citigroup Global Markets., Jay Oldham, Royal Alliance Associates., Lawrence Ruderman, Lloyd Graham, Philip King, Crowell, Weedon & Co., King Financial Services.
Respondent Lawyers(s): Barry M. Vrevich, Bernard B. Kornmehl, Elizabeth Lowery, Lloyd William Graham
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | Expungement |
