| 00-05367 | 07/16/2008 | Claimant(s): Souad Widmeyer, Harry & Audrey Iverson
Claimant Lawyers(s): Souad Y. Widmeyer
Respondent(s): Cooke Christopher, Jeffrey Schwertfeger, Stoney Lee, Jeffco Financial Services
Respondent Lawyers(s): Clinton L. Hubbard, Cooke B. Christopher, Jeffrey A. Schwertfeger
Arbitrator(s): Alan Stamm, Richard C. Ramos, Charles Chazen
Hearing Site: Los Angeles, CA
|  | $0 |
| 02-03841 | 07/15/2008 | Claimant(s): Jae C. Kim and Soon J. Kim
Claimant Lawyers(s): Jae C. Kim
Respondent(s): In Dong Oh, Rowe Park, Sae Chung, Yong Kim, Daehan Securities.
Respondent Lawyers(s): In Dong Oh, Jai Y. Son, Laura Park Chung, Rowe Park, Yong S. Kim
Arbitrator(s): Donald G. Gloisten, Stuart M. de Haaff, Mario H. Metzger
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 03-03099 | 06/19/2008 | Claimant(s): Steven Vender
Claimant Lawyers(s): William F. Davis
Respondent(s): Lehman Brothers Inc
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Edward T. Swanson
Hearing Site: Los Angeles, CA
| | $0 |
| 07-02573 | 06/12/2008 | Claimant(s): Jack Kriegsman
Claimant Lawyers(s): Jack Kriegsman
Respondent(s): Ernest Ciaccio, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Kenneth E. Owen
Hearing Site: Los Angeles, CA
| | $0 |
| 07-00236 | 06/06/2008 | Claimant(s): Steven Holder, Holder Family LP, The Steven Holder Trust
Claimant Lawyers(s): Theodore J. Cohen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nicholas P. Crowell
Arbitrator(s): James R. Duncan, J. Jean Elliott, James S. Carlson
Hearing Site: Los Angeles, CA
| | $0 |
| 07-01889 | 06/06/2008 | Claimant(s): Margaret Toruno
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Alliance Advisory & Securities., Associated Securities Corp
Respondent Lawyers(s): Chad Weaver, H Thomas Fehn
Arbitrator(s): Barbara M. Zak, Elliott David Finkel, David L. Casterline
Hearing Site: Los Angeles, CA
| | $0 |
| 07-01377 | 06/03/2008 | Claimant(s): Leota Bush Trust
Claimant Lawyers(s): Steven Gourley
Respondent(s): Marcel Frey, Mark Goldie
Respondent Lawyers(s): Joseph C. Campo
Arbitrator(s): Thomas E. Shuck, Neil S. Jasper, Rosalind Anne Salzman
Hearing Site: Los Angeles, CA
| | $0 |
| 00-02997 | 06/02/2008 | Claimant(s): Ignatius du Plessis
Claimant Lawyers(s): Ignatius du Plessis
Respondent(s): Frank Mandrell, Baxter, Banks & Smith, Ltd.
Respondent Lawyers(s): F. Martin McDermott, Frank E. Mandrell
Arbitrator(s): Royal D. Heisser
Hearing Site: Los Angeles, CA
| | $90,000 |
| 02-00787 | 05/27/2008 | Claimant(s): Ronald and Kara Hershey
Claimant Lawyers(s): John Thomas Dzialo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Philip Hammitt
Respondent Lawyers(s): Peter Brown Dolan
Arbitrator(s): David Zollman, Michael D. Harrison, Carl W. Vaicek
Hearing Site: Los Angeles, CA
| | $0 |
| 07-01110 | 05/27/2008 | Claimant(s): Joseph Martelli
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Nicholas Natale, Granite Associates.
Respondent Lawyers(s): Nicholas A. Natale
Arbitrator(s): Dawn M. Kirchner, Edward A. Trabin, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | $0 |
