| 10-00798 | 04/12/2012 | Claimant(s): Jefferies & Company.
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Alexander Kadish, Matthew Gorelik
Respondent Lawyers(s): Ryan D. Saba
Arbitrator(s): Robert D. Sussin, Suzanne Viau Chamberlain, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | |
| 10-04475 | 03/02/2012 | Claimant(s): Lanfive Associates, A Partnership, Lani McKinley Trust u/t/d 8/28/2007
Claimant Lawyers(s): Barry P. King
Respondent(s): Stifel, Nicolaus & Co.., Manuel Lozano, Raymond Reed
Respondent Lawyers(s): Chad Weaver, James C. Browning
Arbitrator(s): Robert W. Vernon, Robert Bruce MacDonald, Suzanne Viau Chamberlain
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-05898 | 06/28/2011 | Claimant(s): Daniel L. Villanueva Family Trust
Claimant Lawyers(s): Aimee E. Dominguez
Respondent(s): Wedbush Securities Inc., Javier Jimenez
Respondent Lawyers(s): John W. Stenson
Arbitrator(s): Suzanne Viau Chamberlain, David Maurer, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $89,100 |
| 09-02724 | 04/20/2011 | Claimant(s): Shelby Rothman
Claimant Lawyers(s): William K. Brewer
Respondent(s): Opinder Marwah, Woodbury Financial Services.
Respondent Lawyers(s): Martin S. Chester
Arbitrator(s): Suzanne Viau Chamberlain, Robert Bruce MacDonald, John W. Garman
Hearing Site: Los Angeles, CA
| | |
| 09-05795 | 03/01/2011 | Claimant(s): Robert Axel, Wilburn McClure
Claimant Lawyers(s): Robert A. Axel, Willburn F. McClure
Respondent(s): Matthew Lowe, Raymond, James & Associates., Michael Magruder
Respondent Lawyers(s): Kelli Bullington
Arbitrator(s): Thomas E. Shuck, Suzanne Viau Chamberlain, Mark A. Levy
Hearing Site: Los Angeles, CA
| | $0 |
