| 08-02874 | 11/12/2010 | Claimant(s): Matt Lichtenberg, Viveca Paulin, Will Ferrell, David Living Trust
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Linda L. Blackwell, Elizabeth A. Copley, David L. Maislen
Hearing Site: Los Angeles, CA
|  | $0 |
| 07-03390 | 10/01/2010 | Claimant(s): Sharon Larocque, IRA
Claimant Lawyers(s): Sharon Larocque
Respondent(s): Travis Branch, Brookstreet Securities Corporation
Respondent Lawyers(s): H Thomas Fehn, Travis A. Branch
Arbitrator(s): Harry B. Endsley, Gary A. Hooker, Carol M. Egan
Hearing Site: Honolulu, HI
| | $0 |
| 08-04912 | 08/19/2010 | Claimant(s): Alan Schildhorn, David LaVance, Erin Koury, Grady Hunt, Howard McNeil, Jeffrey Koury, Martha LaVance, NFS/FMTC Rollover IRA FBO Howard & Donna
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ellyn McColgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, Ted Nelson, FMR Corporation
Respondent Lawyers(s): Brian J. Ellis, H Thomas Fehn, Kevin J. Woods, Tracy L. Gerber
Arbitrator(s): John B. Wells, Donald S. Simons, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 09-00120 | 07/22/2010 | Claimant(s): Arthur Taub, Carol Page, Donald Shepard, Esther Stevens, Jeffrey Stevens, Nancy Stevens, Suzanne Helgerson, Travis Bryant, Warren Helgerson, Carol A. Page Roth IRA, Arlan and Barbara Pfohl, Arlan L. & Barbara L. Pfohl Family Trus
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ellyn McColgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, William Betta, FMR Corporation
Respondent Lawyers(s): Brian J. Ellis, H Thomas Fehn, Jason S. Pinney, Kevin K. Fitzgerald, Tracy L. Gerber
Arbitrator(s): Douglas Martin Crow, Joseph W. Cheek, Paul R. Meyer
Hearing Site: Portland, OR
| | Expungement |
| 07-01216 | 03/22/2010 | Claimant(s): Herbert and Dorthy Thiry
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Robert Schultz, Scott Magallanes, Steve Skytte, Brookstreet Securities Corporation
Respondent Lawyers(s): Elizabeth Lowery, H Thomas Fehn, Scott Lee Magallanes, Steve Skytte
Arbitrator(s): James B. Vessey, Jonathan H. Larson, Barry H. Barnett
Hearing Site: Albuquerque, NM
| | $135,000 |
| 08-01846 | 06/01/2009 | Claimant(s): Janet Laird
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Ernest L. Burnside, George L. Tindall, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | $0 |
| 07-02555 | 02/24/2009 | Claimant(s): Michael Fangman
Claimant Lawyers(s): Liam O'Brien
Respondent(s): National Financial Services LLC, Stanley Brooks, Brookstreet Securities Corporation
Respondent Lawyers(s): Donald S. Davidson, H Thomas Fehn, Stanley C. Brooks
Arbitrator(s): Franklin Geerdes, Virginia H. Gaburo, Robert E. Witt
Hearing Site: San Diego, CA
| | |
| 07-02276 | 12/03/2008 | Claimant(s): Judith L. Chiosso Glass, IRA, Judith L. Chiosso Glass Trust
Claimant Lawyers(s): David Liebrader
Respondent(s): Russell Kautz, Stanley Brooks, Brookstreet Securities Corporation
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Robert E.L. Bonaparte, Gary F. Purpura, Daniel B. MacLeod
Hearing Site: Portland, OR
| | $600,000 |
| 07-01889 | 06/06/2008 | Claimant(s): Margaret Toruno
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Alliance Advisory & Securities., Associated Securities Corp
Respondent Lawyers(s): Chad Weaver, H Thomas Fehn
Arbitrator(s): Barbara M. Zak, Elliott David Finkel, David L. Casterline
Hearing Site: Los Angeles, CA
| | $0 |
| 07-02163 | 04/17/2008 | Claimant(s): Raymond Stockus
Claimant Lawyers(s): Raymond James Stockus
Respondent(s): National Financial Services LLC, Brookstreet Securities Corporation
Respondent Lawyers(s): Donald S. Davidson, H Thomas Fehn
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
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