| 08-03215 | 09/25/2009 | Claimant(s): The Nasatir Children's Trust
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Richard M. Leigh, Ronald L. Cameron, Arthur T. Berggren
Hearing Site: Los Angeles, CA
|  | $125,729 |
| 08-01074 | 04/14/2009 | Claimant(s): Patty Mattson
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Oppenheimer & Co.., Lawrence Goldstein, Ronald Gershon
Respondent Lawyers(s): Mitchell J. Albert
Arbitrator(s): Kenneth I. Rosenblum, Arthur T. Berggren, Eric Gad Forster
Hearing Site: Los Angeles, CA
| | $22,000 |
| 07-01521 | 03/09/2009 | Claimant(s): Robert Shepherd
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Marshall Field, Emmett A Larkin Company., Southwest Securities.
Respondent Lawyers(s): Brandon S. Reif, Jonathan D. Neerman, Marshall Field
Arbitrator(s): William J. Adams, Arthur T. Berggren, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | Expungement |
| 03-09085 | 03/31/2008 | Claimant(s): Fred Lowenschuss, Laurance Lowenschuss, ENTERED IN ERROR, Alan Lowenschuss Trust UAD 1/24/89, Edward Lowenschuss Trust UAD 1/24/89
Claimant Lawyers(s): Edward Lowenschuss, Fred Lowenschuss
Respondent(s): Sanford I. Weill, Citigroup Global Markets., Jack B. Grubman, John Hoffmann, Joseph Friedman, Kevin McCaffrey, Robert Waldman
Respondent Lawyers(s): William F. Alderman
Arbitrator(s): Michael W. Burnett, Erik R. Siering, Arthur T. Berggren
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 06-04636 | 10/16/2007 | Claimant(s): Diane Gilmore, Timothy Gilmore, Gilmore Family 1998 Trust
Claimant Lawyers(s): Sean M. Kneafsey
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Steven Gourley, Arthur T. Berggren, David Nielsen
Hearing Site: Los Angeles, CA
| | $63,577 |
