| 10-01320 | 09/06/2011 | Claimant(s): Carl Neuss, Carla Neuss, Elaine Neuss, Hitching Rail Investors, One Westheimer Investors, LTD, DBPP, Pacific Venture Associates Inc. DBPP, Pacific Ventures Associates., Alex Neuss UTMA, Carla Neuss UTMA, Rebecca Neuss UTMA, Carl F. Neuss Beneficiary IRA, Carl F. Neuss IRA, Elaine P. Neuss IRA, Pacific Ventures Asso. 401K, Neuss Family Trust, Prairiestone Investment Trust
Claimant Lawyers(s): Martin B. Greenbaum, Michael Hume
Respondent(s): Wells Fargo Investments, John Milia, Michael Gates
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert D. Sussin, Robert C. Albini, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
|  | Expungement |
| 10-03343 | 08/31/2011 | Claimant(s): The Becker Family Trust dtd 10/10/98
Claimant Lawyers(s): Robert A. Lisnow
Respondent(s): Andrew Melikidse, Sagepoint Financial.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Martin Mandel, Robert S. Fash, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-01712 | 08/23/2011 | Claimant(s): Carl Neuss, Carla Neuss, Elaine Neuss, Hitching Rail Investors, One Westheimer Investors, LTD DBPP, Pacific Venture Associates Inc. DBPP, Pacific Ventures Associates., Pacific Ventures Associates. 401K, Alex Neuss UTMA, Carla Neuss UTMA, Rebecca Neuss UTMA, Carl F. Neuss Beneficiary IRA, Carl F. Neuss IRA, Elaine P. Neuss IRA, Neuss Family Trust, Prairiestone Investment Trust
Claimant Lawyers(s): Martin B. Greenbaum
Respondent(s): John Evans
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert D. Sussin, Robert C. Albini, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-03016 | 07/19/2011 | Claimant(s): Vickie Parrish, EB and Vickie Tedesco Family Trust
Claimant Lawyers(s): David Liebrader
Respondent(s): Wells Fargo Investments, Jon Erickson, Patricia Fontan-Sorlie
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Laurel Littman Gothelf, Dean C. Abraham, Dee Newell
Hearing Site: Las Vegas, NV
| | 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 |
| 09-06555 | 02/14/2011 | Claimant(s): Robert N. Stephens Living Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): UnionBanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Richard M. Norman, Robert C. Albini, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-00339 | 12/20/2010 | Claimant(s): Dominic Annino, DVA Family Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wells Fargo Investments, Kennon Klein
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Elizabeth A. Copley, Milton N. Gross, Ara Kassabian
Hearing Site: Los Angeles, CA
| | $125,000 |
| 09-05576 | 11/02/2010 | Claimant(s): Shuck Limited Partnership, Shuck Family Trust dtd 5/24/05
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): James Losey, Royal Alliance Associates., Wealthcare Alliance.
Respondent Lawyers(s): G. Thomas Fleming, III
Arbitrator(s): Audrey H. Ruben, Joyce L. Hurley, Richard William DeWeese
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-01874 | 06/29/2010 | Claimant(s): Associated Financial Group.
Claimant Lawyers(s): G. Thomas Fleming
Respondent(s): Thomas Ensign, Associated Securities Corp.
Respondent Lawyers(s): G. Thomas Fleming, Thomas Ensign
Arbitrator(s): Charles D. Underwood, David W. Stanton, Erick R. Zanner
Hearing Site: Columbus, OH
| | |
| 09-00877 | 01/13/2010 | Claimant(s): Frank Lopez, Frank R. Lopez Living Trust
Claimant Lawyers(s): David Harrison
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert C. Albini
Hearing Site: Los Angeles, CA
| | $0 |
