| 12-01501 | 05/29/2013 | Claimant(s): Stan Dreyfuss
Claimant Lawyers(s): Leonard Steiner
Respondent(s): RBC Capital Markets LLC, RBC Capital Markets Corporation, RBC Dain Rauscher.
Respondent Lawyers(s): Linda Claxton
Arbitrator(s): James R. Duncan, Elliott Zachary Seff, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | |
| 11-02276 | 03/28/2013 | Claimant(s): Jacki Conolley, Sheldon Bloch, The North Family Trust, The Weston Living Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Elliott Zachary Seff, Eugene A. Taylor, John B. La Rue
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-04099 | 04/13/2012 | Claimant(s): Christina Nielson
Claimant Lawyers(s): Rebecca E. MacLaren
Respondent(s): Charles Bigham
Respondent Lawyers(s): Paul W. Thomas
Arbitrator(s): Elliott Zachary Seff
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02979 | 11/18/2011 | Claimant(s): Robert Stafford
Claimant Lawyers(s): Paul S. Chan, Roger H. Foster
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): Elliott Zachary Seff, Willard H. Altman, Chuba B. Abaelu
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01641 | 07/20/2011 | Claimant(s): Kurt Bochner, Bochner Oakwood Plaza LLC, Kurt Bochner K.B. Trust LLC
Claimant Lawyers(s): David Liebrader
Respondent(s): Kenneth Mcdonald, Crown Capital Securities L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Philip W. Burge, Elliott Zachary Seff, Donald A. Duncan
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-07101 | 07/15/2011 | Claimant(s): Pamela Brown, The Brown Revocable Living Trust
Claimant Lawyers(s): Daniel W. Dunbar
Respondent(s): Wells Fargo Investments, Patrick Vance
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Elliott Zachary Seff, Sharon Bruno, Janice A. Salter
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-03212 | 05/11/2010 | Claimant(s): Bruce Spector, Ilene Abramson, Laurence Abramson, Michael Piuze, Abramson Living Trust UAS 4/1/02, The Spector Family Trust U/A/D 08/16/93
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Steven Gourley, Stephen B. Benton, Elliott Zachary Seff
Hearing Site: Los Angeles, CA
| | $1,557,200 |
