| 08-04100 | 03/14/2012 | Claimant(s): Scott Holt, Tracy Austin
Claimant Lawyers(s): Steven M. Goldberg
Respondent(s): Gary Fournier, Citigroup Global Markets.
Respondent Lawyers(s): Michele R. Fron, William A. Hohauser
Arbitrator(s): Robert D. Sussin, Jon A. Bostrom, Arthur T. Berggren
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-04007 | 01/03/2011 | Claimant(s): Curtis Hill
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): David Commins
Arbitrator(s): Jon A. Bostrom, Jeffrey L. Malek, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 07-02921 | 08/08/2008 | Claimant(s): Anthony Russo, Christopher Drake, David Luna, Stifel, Nicolaus & Co.., Donald Johns, Edward Gutierrez, Herbert Keyser, Jon Bostrom, Linda Swart-Scipione, Lisa Evans, Lisa McCrea, Manuel Lozano, Michael Nielsen, Raymond Reed
Claimant Lawyers(s): Joseph A. Dougherty, Kenneth C. Mennemeier
Respondent(s): Wachovia Securities, A.G. Edwards & Sons.
Respondent Lawyers(s): Jordan D. Becker
Arbitrator(s): Keith D. Patten, Robert W. Dempsey, Jeffrey N. Sullivan
Hearing Site: St. Louis, MO
| | |
| 03-06262 | 01/14/2008 | Claimant(s): Corene Barr, Richard A. Barr, Corene and Richard Barr
Claimant Lawyers(s): Richard A. Barr
Respondent(s): Gary Allen, Morgan Stanley DW Inc.
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): Jon A. Bostrom, Ernest L. Burnside, Annette Gres Shepherd
Hearing Site: Los Angeles, CA
| | $0 |
