| 10-04407 | 12/06/2013 | Claimant(s): Guadalupe Sandoval, Javier Chavez, Jose Fuentes, Maria Conchita Alonso, Roberto I. Nogales
Claimant Lawyers(s): Joseph C. Peiffer
Respondent(s): Rafael Sanchez, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kenneth C. Mennemeier, Rafael R. Sanchez
Arbitrator(s): Michael D. Harrison, Neil S. Jasper, Daniel Su
Hearing Site: Los Angeles, CA
|  | Stipulated Award |
| 12-00146 | 11/14/2013 | Claimant(s): James Kaczmarek, John Hall, Mary Kaczmarek
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Andrew HorowitzL Financial LLC, Scott Doll, Doll Capital Advisors, The Estate Management Group.
Respondent Lawyers(s): David Markun, Ryan Gustafson
Arbitrator(s): Martin Olinick, Kenneth E. Owen, Neil S. Jasper
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-07182 | 09/11/2013 | Claimant(s): Bernard Reznick, Betty Feurring, Brian Schmier, Brian Wynn, Bruce Bartley, Charles Marqusee, Douglas Feurring, Ellen Schmier, Emily Feurring, Helga Marqusee, Jamie Rosemurgy, Linda Schmier, Michal Utterback, Robert Schmier, Ross Feurring, Sam Lee, Sonya Utterback, Feurring Family Limited Partnership, 3 Schmiers Investment Trust LLC, Douglas R. Feurring Revocable Trust, et al
Claimant Lawyers(s): Gary A. Praglin
Respondent(s): Bruce Treitman, Christopher Frank, Deutsche Bank Securities., Henry Persons, Jon Javellana, Kenneth Ro
Respondent Lawyers(s): Jason R. Lindsay, Mark Parmelee, Paul J. Schumacher, Toby Soli, William D. Briendel
Arbitrator(s): James R. Duncan, Neil S. Jasper, Ralph B. Perry
Hearing Site: Los Angeles, CA
| | $180,000 |
| 11-03229 | 04/09/2013 | Claimant(s): NNN One Chesterfield Place 36, NNN St. Charles 5., Sharyl J. Lee, individually and as Sole
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Neil S. Jasper, Vincent J. Natoli, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04934 | 02/08/2012 | Claimant(s): Virginia Oakes
Claimant Lawyers(s): George K. Rosenstock
Respondent(s): Bernard Jongewaard, Mark JongewaardL fka Linsco/Private Ledger Corp., Associated Securities Corp.
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): Roberta Haft, Neil S. Jasper, Joy Diane Williams
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-03046 | 08/30/2011 | Claimant(s): Jason Coles
Claimant Lawyers(s): Christine A. Page
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Larry Haugaard, Neil S. Jasper, Steven A. Wawra
Hearing Site: Los Angeles, CA
| | |
| 10-00477 | 06/23/2011 | Claimant(s): Michael Armstrong, Michael Armstrong IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): David Carlson
Respondent Lawyers(s): Alvin L. Fishman
Arbitrator(s): Neil S. Jasper, Royal D. Heisser, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
| | $218,163 |
| 09-05630 | 03/25/2011 | Claimant(s): Exemption B-2 Wohl Family Trust, The Wohl Family Trust
Claimant Lawyers(s): Steven L. Miller
Respondent(s): Gregory Iglow, Oppenheimer & Co.., Michael Rosenmayer
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Neil S. Jasper, Arthur T. Berggren, Mason A. Dinehart
Hearing Site: Los Angeles, CA
| | Expungement |
| 07-01377 | 06/03/2008 | Claimant(s): Leota Bush Trust
Claimant Lawyers(s): Steven Gourley
Respondent(s): Marcel Frey, Mark Goldie
Respondent Lawyers(s): Joseph C. Campo
Arbitrator(s): Thomas E. Shuck, Neil S. Jasper, Rosalind Anne Salzman
Hearing Site: Los Angeles, CA
| | $0 |
