| 09-03292 | 11/17/2010 | Claimant(s): The RainMaker Financial Co. Pension Plan
Claimant Lawyers(s): Joseph Forman
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): G Thomas Fleming
Arbitrator(s): Robert A. Lombardi, Salvatore A. Sciortino, W. Alex King
Hearing Site: Los Angeles, CA
|  | Stipulated Award and Expungement |
| 09-06220 | 11/15/2010 | Claimant(s): Earl D. Bolen IRA, Bolen Family Trust
Claimant Lawyers(s): H. Thomas Fehn
Respondent(s): Christopher Price, Morgan Stanley
Respondent Lawyers(s): Gregg Garneau
Arbitrator(s): Elliott David Finkel, Joseph L. Hagan, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01835 | 11/15/2010 | Claimant(s): Oren Inbar
Claimant Lawyers(s): Oren Inbar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Meredith A. Faro
Arbitrator(s): David W. Dresnick
Hearing Site: Los Angeles, CA
| | $38 |
| 08-03023 | 11/12/2010 | Claimant(s): Edgar Clark, Edgar T. Clark Charles Schwab & Co Inc.
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Elizabeth A. Copley, David Nielsen, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-02874 | 11/12/2010 | Claimant(s): Matt Lichtenberg, Viveca Paulin, Will Ferrell, David Living Trust
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Linda L. Blackwell, Elizabeth A. Copley, David L. Maislen
Hearing Site: Los Angeles, CA
| | $0 |
| 09-01568 | 11/10/2010 | Claimant(s): Jordan Moffet, Margot Trombley, Trustees of the Moffet Family Trust
Claimant Lawyers(s): Todd A. Higgins
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Devin A. Donahue
Arbitrator(s): Mary L. Williams, Elizabeth A. Copley, David Nielsen
Hearing Site: Los Angeles, CA
| | $668,820 |
| 09-05576 | 11/02/2010 | Claimant(s): Shuck Limited Partnership, Shuck Family Trust dtd 5/24/05
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): James Losey, Royal Alliance Associates., Wealthcare Alliance.
Respondent Lawyers(s): G. Thomas Fleming, III
Arbitrator(s): Audrey H. Ruben, Joyce L. Hurley, Richard William DeWeese
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-05114 | 10/29/2010 | Claimant(s): Jeane Hahn, William Hahn
Claimant Lawyers(s): David Neuman
Respondent(s): David Coles, Valmark Securities.
Respondent Lawyers(s): Deborah Klar
Arbitrator(s): Andrew M. Mintzer, Harris J. Howard, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01597 | 10/26/2010 | Claimant(s): Eric Anderson
Claimant Lawyers(s): Robert J. McKennon
Respondent(s): Robert Clark, Cullum & Burks Securities.
Respondent Lawyers(s): Robert J. Clark, Steve Burks
Arbitrator(s): Eugene A. Taylor, Michael M. Hachigian, George Frederick Garris
Hearing Site: Los Angeles, CA
| | $543,610 |
| 09-01854 | 10/21/2010 | Claimant(s): Abraham Assil
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Barbara M. Zak, James R. Duncan, Richard J. Stall
Hearing Site: Los Angeles, CA
| | $0 |
