| 20-01135 | 08/04/2021 | Claimant(s): Daniel Sebastian, Robin Sebastian
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Adam Michael Porter, Pamela Jane Koslow, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
|  | $0 |
| 13-00333 | 11/06/2014 | Claimant(s): John Chase, Susan Chase, Chase Charitable Remainder Trust
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): Wells Fargo Advisors, Mark Vandeburgt
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Alan Stamm, Mary M. O'Neil, Robert Weston Armstrong
Hearing Site: Los Angeles, CA
| | $144,808 |
| 11-04580 | 06/04/2014 | Claimant(s): Rick Cooper
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): Richard Lanni, Ronald Vogel, Vincent Moy
Respondent Lawyers(s): Charles LaChaussee, John L. Erikson, Mitchell J. Albert
Arbitrator(s): John B. La Rue, Rosa Linda Guadarrama, John R Sustersic
Hearing Site: Los Angeles, CA
| | $0 |
| 11-01909 | 05/25/2012 | Claimant(s): Rose Kramer, Stanley Kramer, DRG Hendersonville TIC 13 LLC, TIC Ren Meadowlands 31, Mayer & Rose Kramer Inter Vivos Trst Ame, Mayer & Rose Kramer Inter Vivos Trust
Claimant Lawyers(s): Jonah A. Toleno
Respondent(s): Amy Grindstaff, Dale Hall, David Smith, Jeffrey Pridey, Kathleen Heshelow, Larry Behrends, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities., MAM Securities
Respondent Lawyers(s): Corporate Officer, David L. Smith, H Thomas Fehn, Keith E. Grindstaff, Larry Ivan Behrends, Robert C. Rosen
Arbitrator(s): Vincent J. Natoli, Robert F. Saint-Aubin, W. Alex King
Hearing Site: Los Angeles, CA
| | $334,000 |
| 09-04522 | 08/26/2011 | Claimant(s): Rick Cooper, Estate of Lauretta Kupperman, Kupperman Family Limited Partnership
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): Wedbush Securities Inc., Debbie Saleh, Edward Wedbush
Respondent Lawyers(s): Charles LaChaussee, Debbie Michelle Saleh
Arbitrator(s): Howard B. Brown, Linda L. Drummond, Robert C. Albini
Hearing Site: Los Angeles, CA
| | $2,865,880 |
| 10-01192 | 04/27/2011 | Claimant(s): The Wright Family Living Trust
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): John Marshall, Rollance Verkennis, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Joseph C. Campo
Arbitrator(s): Alan Stamm, Thomas W. Gregory, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | $1,761,100 |
