| 10-03889 | 03/12/2012 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): Andrew Zicklin
Respondent Lawyers(s): Andrew Zicklin
Arbitrator(s): David Zollman, Arthur F. Brueggeman, Thomas Mason Harwood
Hearing Site: Los Angeles, CA
| | |
| 11-01054 | 03/12/2012 | Claimant(s): California State Teachers' Retirement Sy
Claimant Lawyers(s): Thomas D. Long
Respondent(s): Michelle Morton, Pacific American Securities
Respondent Lawyers(s): Larry A. Walraven, Nicole E. Wurscher
Arbitrator(s): Mary L. Williams, Harold K. Hunt, James M. Goldberg
Hearing Site: Los Angeles, CA
|  | $113,600 |
| 10-01435 | 03/09/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Donald Limacher
Respondent Lawyers(s): Randall J. Clement
Arbitrator(s): G. Thomas Fleming, Michael G. Clark, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
| | |
| 10-04475 | 03/02/2012 | Claimant(s): Lanfive Associates, A Partnership, Lani McKinley Trust u/t/d 8/28/2007
Claimant Lawyers(s): Barry P. King
Respondent(s): Stifel, Nicolaus & Co.., Manuel Lozano, Raymond Reed
Respondent Lawyers(s): Chad Weaver, James C. Browning
Arbitrator(s): Robert W. Vernon, Robert Bruce MacDonald, Suzanne Viau Chamberlain
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-00507 | 03/01/2012 | Claimant(s): Jaimie Davis
Claimant Lawyers(s): Jaimie Davis
Respondent(s): Curtis Sathre, John Schooler, WFP Securities
Respondent Lawyers(s): Brandon Reif
Arbitrator(s): Gerald C. Tambe, Judith Porter, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04851 | 03/01/2012 | Claimant(s): Susan Jenkins
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Crowell, Weedon & Co.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Robert J. Ruben
Hearing Site: Los Angeles, CA
| | $35,513 |
| 10-04022 | 02/28/2012 | Claimant(s): Andrew Vogelbach, Karl Vogelbach, Karl Heinrich Vogelbach MD MPP & Trust U, Karl HeinrichVogelback MD MNY Prchse PL
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): Jens Spitta, Quincy Cass Associatesorporated
Respondent Lawyers(s): Sylvia M. Scott
Arbitrator(s): David W. Dresnick, Kendall C. Reed, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | $0 |
| 11-03380 | 02/28/2012 | Claimant(s): Xinyi Guo
Claimant Lawyers(s): Xinyi Guo
Respondent(s): Ivy Tam, MITAA Global Securities
Respondent Lawyers(s): Ivy Waiwan Tam, Marc A. Oliver
Arbitrator(s): Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | $213 |
| 10-05031 | 02/23/2012 | Claimant(s): Jeffrey & Cheryl Lane Family Trust
Claimant Lawyers(s): Jeffrey Lane
Respondent(s): Brandon Mallette, Louie Vargas, Merrill Lynch Pierce Fenner & Smith Inc., Michael Tiedemann, Paul Wetmore, Sheila Carlson, Lord Abbett Distributor LLC
Respondent Lawyers(s): John P. Bevilacqua, John Beviliqua, Joshua Hess, Matthew L. Larrabee
Arbitrator(s): Mario H. Metzger, George L. Tindall, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | $0 |
| 10-05725 | 02/15/2012 | Claimant(s): Keith Campbell
Claimant Lawyers(s): Keith Anthony Campbell
Respondent(s): Wells Fargo Advisors, Shannon Powers-Solomon
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | $0 |
