| 14-03803 | 11/23/2015 | Claimant(s): Tony Hartman
Claimant Lawyers(s): Margaret E. Peper
Respondent(s): VFG Securities.
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | |
| 13-03042 | 07/14/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Berman
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Theresa Y. Hu, Robert B. Hansohn, W. Alex King
Hearing Site: Los Angeles, CA
| | |
| 12-02073 | 05/08/2015 | Claimant(s): Anthony DeLuca, Nicolinda De Luca
Claimant Lawyers(s): Charles M. Gibbs, Daniel B. Lipson
Respondent(s): Robert Tweed
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Victoria E. Johnson, James A. Sigler, Adam Michael Porter
Hearing Site: Los Angeles, CA
|  | $0 |
| 13-00532 | 04/16/2014 | Claimant(s): Lingo Family Trust
Claimant Lawyers(s): E. Anthony Reguero
Respondent(s): Jim Lund, Robert Tweed, Capwest Securities., United Securities Alliance.
Respondent Lawyers(s): Dale K. Hall, H Thomas Fehn, Michael Jones
Arbitrator(s): Herbert Leslie Greenberg, Joseph Winter, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01598 | 12/26/2013 | Claimant(s): Stanley Brooks, Brookstreet Securities Corporation, Brooks Family Trust
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Jason S. Pinney
Arbitrator(s): Robert Bruce MacDonald, Karen L. Gold, David L. Maislen
Hearing Site: Los Angeles, CA
| | |
| 12-00069 | 05/02/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Jiraeyer Kharatian
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | |
| 11-00654 | 07/09/2012 | Claimant(s): Larry Haas, Roblar
Claimant Lawyers(s): Daniel A. Bakondi, Robert L. Gonser
Respondent(s): Anthony Thompson
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Thomas A. Culbertson, Paul E. Dahlman, George Frederick Garris
Hearing Site: Las Vegas, NV
| | $0 |
| 11-01909 | 05/25/2012 | Claimant(s): Rose Kramer, Stanley Kramer, DRG Hendersonville TIC 13 LLC, TIC Ren Meadowlands 31, Mayer & Rose Kramer Inter Vivos Trst Ame, Mayer & Rose Kramer Inter Vivos Trust
Claimant Lawyers(s): Jonah A. Toleno
Respondent(s): Amy Grindstaff, Dale Hall, David Smith, Jeffrey Pridey, Kathleen Heshelow, Larry Behrends, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities., MAM Securities
Respondent Lawyers(s): Corporate Officer, David L. Smith, H Thomas Fehn, Keith E. Grindstaff, Larry Ivan Behrends, Robert C. Rosen
Arbitrator(s): Vincent J. Natoli, Robert F. Saint-Aubin, W. Alex King
Hearing Site: Los Angeles, CA
| | $334,000 |
| 10-00603 | 11/29/2011 | Claimant(s): Jane Usher, Samuel Usher, Jackson A. Usher Custodial, Samuel T. Usher Custodial, Jane Ellison Usher Trust of Oct 20, 2000
Claimant Lawyers(s): Mark T. Drooks
Respondent(s): Bambi Holzer, Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee, H Thomas Fehn
Arbitrator(s): Kirtley M. Thiesmeyer, Holly Banafsheh, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | $1,405,390 |
| 11-01593 | 11/04/2011 | Claimant(s): Daniel Robertson
Claimant Lawyers(s): Daniel Scott Robertson
Respondent(s): Capwest Securities.
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Marvin Elster
Hearing Site: Richmond, VA
| | |
