| 10-03270 | 10/19/2011 | Claimant(s): Swedelson & Gottlieb Cash Balance Plan
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): Mitchell Pindus, RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Audrey H. Ruben, Catherine M. O'Brien, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
|  | $10,000 |
| 10-03222 | 10/13/2011 | Claimant(s): Anthony Hanna, Debra Hanna, 2001 Anthony J. and Debra F. Revocable T
Claimant Lawyers(s): Irwin Stein
Respondent(s): Dale Hall, David Smith, Kathleen Heshelow, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities.
Respondent Lawyers(s): David L. Smith, H Thomas Fehn, Orly Davidi
Arbitrator(s): Alan Stamm, A. Joel Klein, Russell T. Doe
Hearing Site: Los Angeles, CA
| | $0 |
| 10-05749 | 10/11/2011 | Claimant(s): Joan Lane
Claimant Lawyers(s): William B. Hayes
Respondent(s): John Tyler, Capwest Securities.
Respondent Lawyers(s): Dale Hall, H Thomas Fehn
Arbitrator(s): Holly Stein Sollod, James B. Eichberg, Marilyn R. Lewis
Hearing Site: Denver, CO
| | $0 |
| 09-06787 | 07/25/2011 | Claimant(s): Jean Bernal, Jeannette McClennan, John McClennan, Manuel Bernal
Claimant Lawyers(s): Salvador Ongaro
Respondent(s): Attila Toth, Capwest Securities., Latitude Financial Services, Workman Securities Corporation
Respondent Lawyers(s): Attila Gyula Toth, Debra A. Jenks, H Thomas Fehn
Arbitrator(s): James E. Stark, Louis M. Parker, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $568,870 |
| 10-02336 | 05/06/2011 | Claimant(s): Roland Lee
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Patrick Burke, Capwest Securities.
Respondent Lawyers(s): H Thomas Fehn, Patrick Joseph Burke
Arbitrator(s): John J. Flynn, James D. Murray, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $600 |
| 09-06522 | 04/06/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Michael J. Albert
Respondent(s): Mark Monin
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Ralph H. Erickson
Hearing Site: Los Angeles, CA
| | |
| 09-07059 | 03/24/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Jeffrey Davis
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
| | |
| 09-00268 | 02/03/2011 | Claimant(s): Avis Nakama, Barbara Porter, Kazuko Tietz, Laureen Branch, Marjorie Parker, Melvin Aoki, Piikoi Kawananakoa, Blur Industries., Branch Holdings., Just Black, Lum Borthers, Avis Y. Nakama Trust, Barbara Porter Revocable Trust, Melvin R. Aoki Revocable Living Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Clifford Popper, Ellyn Mccolgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, Travis Branch, William Betta
Respondent Lawyers(s): Brian J. Ellis, Clifford Alan Popper, H Thomas Fehn, Kevin G. Fitzgerald, Michael R. Weissman, Tracy L. Gerber, Travis Anthony Branch
Arbitrator(s): Harry B. Endsley, Harriette L. Holt, Richard Bruce Dole
Hearing Site: Honolulu, HI
| | Expungement |
| 10-00957 | 01/28/2011 | Claimant(s): Belinda Bullock
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): Wedbush Securities Inc., Edward Wedbush
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | |
| 08-00500 | 01/28/2011 | Claimant(s): Marcia Sternlieb
Claimant Lawyers(s): Brian H. Reis
Respondent(s): Jason Woessner, Stanley Brooks, Brookstreet Securities Corp.
Respondent Lawyers(s): H Thomas Fehn, Jason Woessner
Arbitrator(s): John Steve Azadian, Muriel Desloovere, Edith N. Dinneen
Hearing Site: Clearwater, FL
| | $1,150 |
