| 06-03757 | 04/09/2009 | Claimant(s): Susan Christopher
Claimant Lawyers(s): Susan Emms Christopher
Respondent(s): Amy Larson, Morgan Stanley & Co.
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): David Paul Beauvais
Hearing Site: Los Angeles, CA
|  | $0 |
| 08-02628 | 04/09/2009 | Claimant(s): Harley Bjelland, Harley L. Bjelland, A Prof. Corp.
Claimant Lawyers(s): Harley L. Bjelland
Respondent(s): Kelly Dougherty, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Steven J. Feldman
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04105 | 04/08/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): Lenny Dykstra
Respondent Lawyers(s): Lenny Dykstra
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
| | $0 |
| 08-03232 | 04/06/2009 | Claimant(s): Willliam Frechtman
Claimant Lawyers(s): William Frechtman
Respondent(s): David Park
Respondent Lawyers(s): David Sung Wook Park
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $1,000 |
| 08-03634 | 04/02/2009 | Claimant(s): Rodney Glover
Claimant Lawyers(s): Rodney J. Glover
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $25 |
| 07-03054 | 03/20/2009 | Claimant(s): Alan Beverly, Angela Soll, Audrey Schaefer, Carole Renfro, Clayton Beck, Darcie Fulkerson, Debbie Beverly, Gail Stoneburg, Jeff Bourne, John Brezden, Jonathan Fulkerson, Kathy Beck, Kevin Howard, Linda Gaffney, Maria Brezden, Mark Baker, Mark Gruidl, Mark Soll, Michael Schaefer, Rena Stathacopoulos, et al
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Jeffrey Forrest, Associated Securities Corp.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert J. Ruben, Mark S. Priver, Kenneth Miller
Hearing Site: Los Angeles, CA
| | $8,858,600 |
| 08-01584 | 03/19/2009 | Claimant(s): Donna Main
Claimant Lawyers(s): Donna Main
Respondent(s): Wachovia Securities, Gerald Morris
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Dennis A. Torres
Hearing Site: Los Angeles, CA
| | $0 |
| 07-01521 | 03/09/2009 | Claimant(s): Robert Shepherd
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Marshall Field, Emmett A Larkin Company., Southwest Securities.
Respondent Lawyers(s): Brandon S. Reif, Jonathan D. Neerman, Marshall Field
Arbitrator(s): William J. Adams, Arthur T. Berggren, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-00294 | 02/23/2009 | Claimant(s): Richard Rovnick, Robert Kotler, Robert Lubar, Ronald Sheldon, Sidney Oko, Drs. Adilman,Katin,Lubar Ltd. Profit Shr, M.D.. Profit Sharing, Ronald Sheldon Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Andrew Shapiro, Donald Hunter, Edward Taylor, Gregory Martino, Michael Baker, Westrock Advisors.
Respondent Lawyers(s): Robert a. Giacovas
Arbitrator(s): Vincent J. Natoli, Michael M. Hachigian, Troy C. Sumrall
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 07-02901 | 01/23/2009 | Claimant(s): Kenneth Chyten
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Dennis Devaney, United Capital Markets.
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Kenneth I. Rosenblum, Edward J. Costello, Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
| | Expungement |
