| 10-01117 | 01/31/2012 | Claimant(s): Martine Roach
Claimant Lawyers(s): Carla R. Kralovic
Respondent(s): Jerrold Sexton, Capital Growth Planning Advisors., Capital Growth Resources
Respondent Lawyers(s): Jerrold R. Sexton, Walter Miller
Arbitrator(s): Richard J. Stall, Thomas A. Culbertson, Kenneth Miller
Hearing Site: Los Angeles, CA
|  | $394,270 |
| 09-05428 | 06/21/2011 | Claimant(s): Brandon Lew, Wendy Lew, Brandon Lew Inherited IRA, Wendy Lew SEP IRA, HMH Emergency Medical Group 401(K) Profi, Lew Family Trust UTA DTD 9/11/07
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Diana Li, Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Diana D. Li, Wendy R. Robinson
Arbitrator(s): Larry Haugaard, Thomas A. Culbertson, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
| | $600 |
| 05-04618 | 10/31/2007 | Claimant(s): Donna Perlmutter, Jona Perlmutter, Perlmutter Family Trust
Claimant Lawyers(s): Loren J. Beck
Respondent(s): Roth Capital Partners
Respondent Lawyers(s): Momo E. Takahashi
Arbitrator(s): J. Jean Elliott, Thomas A. Culbertson, Henry Marris Wollman
Hearing Site: Los Angeles, CA
| | $93,681 |
