| 06-04950 | 03/20/2008 | Claimant(s): Eugh Shibasaki, Junko Shibasaki, Kyoko Kusaba, Raye Shibasaki, Shibasaki Family Trust dtd 4/12/91
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Hitomi Tsuyuki
Respondent Lawyers(s): Hitomi Tsuyuki
Arbitrator(s): Alan Stamm, Kenneth I. Rosenblum, Thomas R. Watkins
Hearing Site: Los Angeles, CA
|  | $371,440 |
| 07-02737 | 03/18/2008 | Claimant(s): Melanie Bruno
Claimant Lawyers(s): Milton Fried
Respondent(s): AXA Advisors
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): Walter S. Weiss, James H. Frank, Louise A. Berberian
Hearing Site: Los Angeles, CA
| | $0 |
| 06-04192 | 03/12/2008 | Claimant(s): The Thomas P. Matula Liv. Trust 12/05
Claimant Lawyers(s): C. Darrell Sooy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeffrey F. Silverman
Arbitrator(s): Robert D. Sussin, Ronald E. Ogden, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
| | $0 |
| 06-05202 | 03/06/2008 | Claimant(s): David Hubert
Claimant Lawyers(s): Fred Rucker
Respondent(s): Donald Kellen, J.P. Morgan Securities
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): Edwin C. Shiver, Ivan Claman, Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
| | $0 |
| 07-00470 | 02/27/2008 | Claimant(s): Oscar Munguia
Claimant Lawyers(s): Oscar R Munguia
Respondent(s): John Conroy, Kevin Brennan, Reza Abedi, Benson York Group., New Castle Financial Group Inc.
Respondent Lawyers(s): Brett D. Zinner, John J. Conroy, Reza Abedi
Arbitrator(s): Thomas E. Shuck, Tina L. Mitchell, Holly Banafsheh
Hearing Site: Los Angeles, CA
| | $0 |
| 03-02675 | 02/22/2008 | Claimant(s): Kamran Tavakoli
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): John Farahi, Michael Khorsandi, Newpoint Securities
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Robert S. Granas, James M. Mulcahy, Russell T. Doe
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 07-02563 | 02/14/2008 | Claimant(s): Estate of Alvinett Neidhart
Claimant Lawyers(s): Pamela Neidhart-Ring
Respondent(s): Scotty Schoettlin, Citicorp Investment Services
Respondent Lawyers(s): Douglas B. Appel, Scotty Schoettlin
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $17,795 |
| 07-02391 | 02/05/2008 | Claimant(s): David N. Fogg & Jane D. Fogg
Claimant Lawyers(s): David N. Fogg
Respondent(s): John McGovern, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen Adams
Arbitrator(s): Elizabeth A. Copley
Hearing Site: Los Angeles, CA
| | $900 |
| 07-00362 | 01/31/2008 | Claimant(s): Jose Ruelas
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Wachovia Securities, Stephen Wilson
Respondent Lawyers(s): Demian J. Betz, Peter Dolan
Arbitrator(s): John Alen DeRosa, Robert W. Vernon, Frank L. Wolf
Hearing Site: Los Angeles, CA
| | $0 |
| 07-00519 | 01/30/2008 | Claimant(s): Amazing Destiny Trust, Moonlight Miracle Trust
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Carlo Sparacino, David Crist, Jeffrey Reed, SII Investments., WIN-Team Insurance Services.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Barbara M. Zak, Daniel R. Brush, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | $255,149 |
