| 10-05780 | 06/06/2012 | Claimant(s): The Heater Family Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): William M. Turner
Arbitrator(s): William E. Schneider, Ronald F. Rybandt, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-01036 | 06/06/2012 | Claimant(s): Kawaljit Bedi, Ravinder Bedi
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David S. Markun
Arbitrator(s): Susan B. Gans-Smith, Thanayi J. Lindsey, Daniel Su
Hearing Site: Los Angeles, CA
| | $141,250 |
| 11-00453 | 06/04/2012 | Claimant(s): Marvin Antonowsky, Marvin Antonowsky IRA, Antonowsky 1984 Trust UAD 03/23/1989
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): E*Trade Securities LLC, Li-Wei Chang
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Barbara M. Zak, Arthur F. Brueggeman, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-00227 | 05/25/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Kevin Howard
Respondent Lawyers(s): D. Jonathan Hadaya
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
| | |
| 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 |
| 11-02505 | 05/24/2012 | Claimant(s): Barbara Roberts, Joe Roberts, Joe D. Roberts IRA
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Colleen A. Hankins, Judy Louie
Arbitrator(s): Joseph C. Watson, Robert Allan Klein, Cynthia Ruth Saffir
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-05250 | 05/16/2012 | Claimant(s): Zvi Streit, The Streit Living Trust
Claimant Lawyers(s): George A Shohet
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Susan B. Gans-Smith, Robert B. Hansohn, David L. Maislen
Hearing Site: Los Angeles, CA
| | $143,400 |
| 11-00092 | 05/11/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Grant H. Dowd
Respondent(s): Tony Mingo
Respondent Lawyers(s): Tony F. Mingo
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
| | |
| 10-03743 | 05/08/2012 | Claimant(s): Donna Wagner, Richard Wagner, R.L.WagnerTrust-Richard Wagner Trustee
Claimant Lawyers(s): James R. Ebert, William A. Malis
Respondent(s): Wells Fargo Investments, Wells Fargo Brokerage Services, L.L.C., Wells Fargo Institutional Securities LLC
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Kenneth I. Rosenblum, Gerald F. Corrigan, Richard M. Norman
Hearing Site: Los Angeles, CA
| | Auction Rate Securities related |
| 10-04733 | 05/08/2012 | Claimant(s): NAK Investments
Claimant Lawyers(s): Philip W. Bartenetti
Respondent(s): Hormoz Saleh, UBS Financial Services Inc.
Respondent Lawyers(s): Steve Young
Arbitrator(s): Robert W. Vernon, Troy C. Sumrall, James Belk
Hearing Site: Los Angeles, CA
| | Expungement |
