| 10-05367 | 05/04/2012 | Claimant(s): William Condon
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Reuven Enterprises Sec. Division
Respondent Lawyers(s): Michael Huberman
Arbitrator(s): Robert W. Vernon, Anita Rae Shapiro, James M. Goldberg
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-04599 | 05/02/2012 | Claimant(s): Helen Robinson, Helen T. Robinson Trust
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): John Schooler, Louis Schooler, Thomas Hanson, Tom English, Warren Horney, WFP Securities
Respondent Lawyers(s): Louis V. Schooler, Theodore Peters, Tom English
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 11-03596 | 04/25/2012 | Claimant(s): Michael Shimon, Regina Shimon
Claimant Lawyers(s): Michael F. Shimon, Regina Ralene Shimon
Respondent(s): Craig Rumbaugh
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Nancy G. Harris
Hearing Site: Los Angeles, CA
| | $1,450 |
| 08-04526 | 04/24/2012 | Claimant(s): Dona Hannigan, Dona Lynn Hannigan Revocable Living Trus
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Christopher Ranney, Jennifer Himes, Kyle Kelly, Leia Farmer, Roxanne Brecek, Brecek & Young Advisors.
Respondent Lawyers(s): Elizabeth Lowery, Thomas J. Callaway
Arbitrator(s): George L. Tindall, Benjamin F. Breslauer, Valerie Lewis
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04559 | 04/23/2012 | Claimant(s): Leonard Narel, Linda Narel
Claimant Lawyers(s): Leonard Edward Narel
Respondent(s): Wayne Hummer Investments L.L.C.
Respondent Lawyers(s): Michael Waters
Arbitrator(s): Ralph H. Erickson
Hearing Site: Los Angeles, CA
| | $0 |
| 11-04099 | 04/13/2012 | Claimant(s): Christina Nielson
Claimant Lawyers(s): Rebecca E. MacLaren
Respondent(s): Charles Bigham
Respondent Lawyers(s): Paul W. Thomas
Arbitrator(s): Elliott Zachary Seff
Hearing Site: Los Angeles, CA
| | Expungement |
| 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
| | |
| 10-05751 | 04/12/2012 | Claimant(s): Ken Kragen
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Robert W. Vernon, William Lee Krantz, Michael John Florio
Hearing Site: Los Angeles, CA
| | $207,500 |
| 11-01676 | 04/11/2012 | Claimant(s): Gary Brown, Estelle Brown Trust
Claimant Lawyers(s): Ralph Rogari
Respondent(s): Barry Bayat, UBS Financial Services Inc.
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Steven A. Wawra, Mary K. Foust, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | $0 |
| 11-01218 | 04/05/2012 | Claimant(s): Robert Olson
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Michael Finnan, Paul Metz, Richard Pollan, Morgan Wilshire Securities.
Respondent Lawyers(s): Peter Dolan, Richard D. Pollan
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | $45,000 |
