| 12-02689 | 06/02/2014 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Duc Tran, Gary Wei, Richard McKusick
Respondent Lawyers(s): Catania T. Facher, G. Thomas Fleming
Arbitrator(s): Ronald L. Cameron, Marvin B. Karelitz, David Pierce Lyon
Hearing Site: Los Angeles, CA
| | |
| 11-04329 | 08/21/2013 | Claimant(s): Juliet Feinberg, Larry Feinberg
Claimant Lawyers(s): Edward Gartenberg
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michael R. Mitchell, Mario H. Metzger, Janice A. Salter
Hearing Site: Los Angeles, CA
|  | $0 |
| 12-01975 | 07/23/2013 | Claimant(s): Alex Binai
Claimant Lawyers(s): D. Daxton White
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michelle Judy Brant, Sterling N. Frost, Kenneth W. Gosliner
Hearing Site: San Francisco, CA
| | Expungement |
| 12-02933 | 07/09/2013 | Claimant(s): Marianne Baldwin
Claimant Lawyers(s): Irwin Stein
Respondent(s): Mark Van Mourick, Gramercy Securities., Optivest.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michael G. Clark, Christopher J. Rogers, Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-03227 | 03/21/2013 | Claimant(s): Eliseo Alatorre
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Lester Friedman, Peter H. Daly, Kevin C. Coleman
Hearing Site: San Francisco, CA
| | Expungement |
| 11-02874 | 12/17/2012 | Claimant(s): Donna Berry
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Jeffrey E. Skogsbergh, Elliott David Finkel, Herbert Murez
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-05814 | 02/24/2012 | Claimant(s): Janice Carkeek, Janice Carkeek IRA, Janice A. Carkeek Revocable Trust U/A/D
Claimant Lawyers(s): Alan L. Sachs
Respondent(s): Jeremy Kisner, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman, G. Thomas Fleming
Arbitrator(s): James H. McAvoy, Melvin S. Feldman, Daniel Clay McGuire
Hearing Site: Las Vegas, NV
| | $31,768 |
| 09-03569 | 01/20/2012 | Claimant(s): Lyle W. Swenson, Jr. & Michelle Swenson
Claimant Lawyers(s): Peter K. Rundle
Respondent(s): Wachovia Securities, Craig Riley
Respondent Lawyers(s): Craig Alan Riley, G. Thomas Fleming
Arbitrator(s): Robert A. Lombardi, Kenneth E. Kreh, Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $0 |
| 10-00508 | 12/30/2011 | Claimant(s): Christiane Rocco, Michael Rocco
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Debra Reda-Cappos, Crowell, Weedon & Co., Seidler Holdings., The Seidler Companies Incorporated
Respondent Lawyers(s): G. Thomas Fleming, Peter Brown Dolan
Arbitrator(s): Daniel David Kopman, Norman Michael Garland, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04062 | 12/06/2011 | Claimant(s): Mary Iandiorio, Mary Ann Iandiorio Trust
Claimant Lawyers(s): Brett Alcala
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Frank R Weaver, Linda M. McCoy, Martin Joel Fassler
Hearing Site: San Francisco, CA
| | Expungement |
