| 09-02671 | 10/07/2011 | Claimant(s): Vincent R. and Tracie D. Heileson JTTEN
Claimant Lawyers(s): Anthony B. Gordon
Respondent(s): Wells Fargo Investments, Hokon Yun
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): J. Jean Elliott, James S. Carlson, David Nielsen
Hearing Site: Los Angeles, CA
|  | $83,071 |
| 10-03480 | 07/15/2011 | Claimant(s): Nick Shahrestany, Milan Investments
Claimant Lawyers(s): Kevin Gerry
Respondent(s): Brian Murphy, Morgan Stanley
Respondent Lawyers(s): Jonathan D. Robbins
Arbitrator(s): Robert A. Lombardi, Kirtley M. Thiesmeyer, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
| 09-05645 | 07/13/2011 | Claimant(s): Bobby Panahi
Claimant Lawyers(s): Peter M. Kunstler
Respondent(s): UBS Financial Services Inc., Trevis Rucci
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Thomas E. Shuck, Robert W. Vernon, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
| 09-06220 | 11/15/2010 | Claimant(s): Earl D. Bolen IRA, Bolen Family Trust
Claimant Lawyers(s): H. Thomas Fehn
Respondent(s): Christopher Price, Morgan Stanley
Respondent Lawyers(s): Gregg Garneau
Arbitrator(s): Elliott David Finkel, Joseph L. Hagan, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
| 08-03023 | 11/12/2010 | Claimant(s): Edgar Clark, Edgar T. Clark Charles Schwab & Co Inc.
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Elizabeth A. Copley, David Nielsen, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-01568 | 11/10/2010 | Claimant(s): Jordan Moffet, Margot Trombley, Trustees of the Moffet Family Trust
Claimant Lawyers(s): Todd A. Higgins
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Devin A. Donahue
Arbitrator(s): Mary L. Williams, Elizabeth A. Copley, David Nielsen
Hearing Site: Los Angeles, CA
| | $668,820 |
| 08-00685 | 12/18/2008 | Claimant(s): Dennis Rosenstock
Claimant Lawyers(s): James D. Portman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Robert J. Ruben, Elizabeth A. Copley, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
| 06-05046 | 08/28/2008 | Claimant(s): Steven Bickel
Claimant Lawyers(s): Frank E. Bremmer
Respondent(s): John Humphrey, A.G. Edwards & Sons., Robert Burns
Respondent Lawyers(s): Brent J. Burtin, John James Humphrey
Arbitrator(s): David J. Anderson, Gerald F. Corrigan, David Nielsen
Hearing Site: Los Angeles, CA
| | No Info |
| 06-04636 | 10/16/2007 | Claimant(s): Diane Gilmore, Timothy Gilmore, Gilmore Family 1998 Trust
Claimant Lawyers(s): Sean M. Kneafsey
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Steven Gourley, Arthur T. Berggren, David Nielsen
Hearing Site: Los Angeles, CA
| | $63,577 |
