| 10-00640 | 01/20/2011 | Claimant(s): Lawrence Ngou
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): Lawrence Labine, Dewaay Financial Network, Llc
Respondent Lawyers(s): Alan S. Baskin, Sam Y. Edgerton
Arbitrator(s): Vaughn Thomas Hale, Thomas A. Culbertson, W. Alex King
Hearing Site: Los Angeles, CA
|  | $100,000 |
| 09-03993 | 10/01/2010 | Claimant(s): David Sherman, David A.Sherman Liv Tr,
Claimant Lawyers(s): Harvey J. Barnett
Respondent(s): Sanford C. Bernstein & Co., Llc
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Stephen C. Esposito, Herbert S. Channick, David M. Fetter
Hearing Site: Chicago, IL
| | $600 |
| 08-03433 | 08/17/2009 | Claimant(s): Greg Klement, Mary Klement
Claimant Lawyers(s): Bryan Forman
Respondent(s): Andrew Tressler, American Capital Partners, Llc
Respondent Lawyers(s): Christoper J. Albanese, J. Christopher Albanese
Arbitrator(s):
Hearing Site: Dallas, TX
| | $387,960 |
| 08-01035 | 07/08/2009 | Claimant(s): Lanfear Capital Advisers
Claimant Lawyers(s): Paul B. Nesbitt
Respondent(s): Rani Jarkas, Global Crown Capital, Llc
Respondent Lawyers(s): David G. Finkelstein, Melvin K. Patterson
Arbitrator(s): Thomas C. McNally, Marvin G. Breen, Roberta R. Jeffrey
Hearing Site: San Francisco, CA
| | $1,688,000 |
