| 12-02933 | 07/09/2013 | Claimant(s): Marianne Baldwin
Claimant Lawyers(s): Irwin Stein
Respondent(s): Mark Van Mourick, Gramercy Securities., Optivest.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michael G. Clark, Christopher J. Rogers, Joyce L. Hurley
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-02431 | 12/20/2012 | Claimant(s): Irvin Welch
Claimant Lawyers(s): Jan Graham
Respondent(s): Wachovia Securities, Dwayne Alpers, Louis Navellier
Respondent Lawyers(s): Joseph E. Floren, Philip A. McLeod
Arbitrator(s): George J. Karlsven, Joan M. Traub, Michael G. Clark
Hearing Site: Salt Lake City, UT
| | Expungement |
| 11-00911 | 10/23/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Barbara Horvath
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Michael G. Clark, Barton J. Brewer, David W. Dresnick
Hearing Site: Los Angeles, CA
| | |
| 12-01198 | 09/04/2012 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Samuel McCormick
Respondent Lawyers(s): Samuel Troy McCormick
Arbitrator(s): Michael G. Clark
Hearing Site: Portland, OR
| | |
| 10-01435 | 03/09/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Donald Limacher
Respondent Lawyers(s): Randall J. Clement
Arbitrator(s): G. Thomas Fleming, Michael G. Clark, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
| | |
| 10-03384 | 12/09/2011 | Claimant(s): Daniel Dean, Judy Joachimi, Norman Marik, Patricia Hendricks, Carroll L. Joachimi, Thomas R. Dew
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Marvin J. Klein, Michael G. Clark, Nicholas Jason Enoch
Hearing Site: Nashville, TN
| | $48,260 |
| 09-05396 | 04/13/2011 | Claimant(s): NNN Aventura Harbor 14 LLC, The Revocable Living Trust of Edward and
Claimant Lawyers(s): David Liebrader
Respondent(s): Jeffrey Gurman, Woodbury Financial Services.
Respondent Lawyers(s): Jesse Linebaugh, Ryan D. Harvey
Arbitrator(s): Dean Schneider, Michael G. Clark, Melvin S. Feldman
Hearing Site: Los Angeles, CA
| | $605,750 |
| 09-06316 | 02/07/2011 | Claimant(s): Joseph J. Bevilacqua Trust dtd 7/07/1999
Claimant Lawyers(s): Robert C. Chandler
Respondent(s): Wells Fargo Investments, Thoeurn Indy
Respondent Lawyers(s): Mavish Z. Madad
Arbitrator(s): Michael G. Clark
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-01667 | 05/03/2010 | Claimant(s): Esther J. Aboud IRA Account, The 2000 Esther Aboud Revocable Trust
Claimant Lawyers(s): Esther J. Aboud
Respondent(s): Wachovia Securities, James Wheat
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Roberta Haft, Milton C. Bennett, Michael G. Clark
Hearing Site: Los Angeles, CA
| | $0 |
| 07-02734 | 04/30/2010 | Claimant(s): Jamila Arapovic
Claimant Lawyers(s): Jamila Arapovic
Respondent(s): Wells Fargo Investments, Wells Fargo, N.A.
Respondent Lawyers(s): Dena Narbaitz
Arbitrator(s): Michael G. Clark, James P. Murphy, Cathleen M. Cobb
Hearing Site: Los Angeles, CA
| | |
