| 10-02084 | 11/19/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Gene Burns
Respondent Lawyers(s): Gene Howard Burns
Arbitrator(s): Nancy Hutt
Hearing Site: San Francisco, CA
| | |
| 10-00699 | 11/10/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): David Wilson
Respondent Lawyers(s): David Paul Wilson
Arbitrator(s): Frederick Michael Switzer
Hearing Site: Little Rock, AR
| | |
| 10-00702 | 09/30/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Michael Forbes
Respondent Lawyers(s): Brent V. Manning
Arbitrator(s): Robert S. McConnell, Dennis Dowd, George H. Speciale
Hearing Site: Salt Lake City, UT
| | |
| 09-01221 | 03/17/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): James Phillips
Respondent Lawyers(s): Richard Sacks
Arbitrator(s): Donald S. Simons, W. Alex King, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | |
| 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 |
| 07-03274 | 01/13/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Edward McNally
Respondent Lawyers(s): Edward M. McNally
Arbitrator(s): Philip W. Burge, Salvatore A. Sciortino, Joel D. Davidman
Hearing Site: Los Angeles, CA
| | |
| 07-01108 | 12/26/2008 | Claimant(s): D&H Claims Services., H&H Agency., Sterling Casualty Insurance Company
Claimant Lawyers(s): David J. Darnell
Respondent(s): J.P. Morgan Securities, Oppenheimer & Co.., Michael Horaney
Respondent Lawyers(s): Mitchell J. Albert, Neal S. Robb, Robert J. Girard
Arbitrator(s): Elliott David Finkel, Kenneth I. Rosenblum, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
| | $138,200 |
| 08-01082 | 09/26/2008 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Peter Brown
Respondent Lawyers(s): Peter Brown
Arbitrator(s): James R. Dickson
Hearing Site: San Francisco, CA
| | |
| 08-02495 | 09/08/2008 | Claimant(s): Smith Barney Shearson.
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Jennifer Davis, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Geoffrey Gordon-Creed, Paul Vincent Simpson
Arbitrator(s): Donald S. Duerson, Walter J. Huntley, Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
| 07-00519 | 01/30/2008 | Claimant(s): Amazing Destiny Trust, Moonlight Miracle Trust
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Carlo Sparacino, David Crist, Jeffrey Reed, SII Investments., WIN-Team Insurance Services.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Barbara M. Zak, Daniel R. Brush, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | $255,149 |
