| 18-01679 | 06/29/2020 | Claimant(s): Stephen Schroeder
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Blake Kiernan
Respondent Lawyers(s): Blake H. Kiernan
Arbitrator(s): Mark L Miller, Charles G. Michaels, Robert Elman
Hearing Site: Omaha, NE
|  | $69,550 |
| 10-02578 | 10/14/2014 | Claimant(s): Barbara Quick, Gary Quick
Claimant Lawyers(s): Adam T. Hoover
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John Stenson
Arbitrator(s): Roberta Haft, Robert Elman, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
| 13-02788 | 07/21/2014 | Claimant(s): Mark White
Claimant Lawyers(s): Stacey M. Garrett
Respondent(s): Elisabeta Taborelli
Respondent Lawyers(s): Elisabeta Taborelli
Arbitrator(s): Alan Stamm, John B. La Rue, Robert Elman
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-03467 | 05/06/2014 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Matthew Belden
Respondent Lawyers(s): Richard Sacks
Arbitrator(s): James N. D'Orso, Kenneth W. Gosliner, Robert Elman
Hearing Site: San Francisco, CA
| | |
| 09-02387 | 12/12/2011 | Claimant(s): Ellen Foster
Claimant Lawyers(s): Leonard Steiner
Respondent(s): Matthew Jennings, Thomas Savino, Wayne Leffler
Respondent Lawyers(s): John P. Girarde, Thomas Walter Savino
Arbitrator(s): Jerry Ellner, Robert Elman, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 09-06722 | 08/02/2011 | Claimant(s): Lon Isaacson, Michael Trerotola, Stephen Trerotola, Lon B. Isaacson Associates
Claimant Lawyers(s): Lon B. Isaacson
Respondent(s): UBS Securities LLC, James Shelburne, Joseph Sulentor, UBS Financial Services Inc., Michael Ladge, Richard Frankel, Shawn Patt, UBS AG
Respondent Lawyers(s): Jeffrey W. Kramer, Kendra Canape
Arbitrator(s): Michael D. Harrison, Robert Elman, W. Alex King
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-02586 | 12/02/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Nils Barrett
Respondent Lawyers(s): Steven M. Harris
Arbitrator(s): Blaine Smith, Linda L. Drummond, Robert Elman
Hearing Site: Los Angeles, CA
| | |
| 06-04407 | 06/03/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): David H. Smith
Respondent(s): David Bryant
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Donald T. Meder, Dorothy B. Strackbein, Robert Elman
Hearing Site: Los Angeles, CA
| | |
| 07-01941 | 09/23/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Gary Handler
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Robert S. Fash, Robert Elman, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | |
