| 10-04393 | 12/20/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Steven Glasberg
Respondent Lawyers(s): Steven L. Glasberg
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
| | |
| 11-01071 | 12/19/2011 | Claimant(s): Cantella & Co..
Claimant Lawyers(s): Jay Lanstein
Respondent(s): Arthur Gerome
Respondent Lawyers(s): Arthur A. Gerome
Arbitrator(s): Roberta Haft, Montgomery G. Griffin, Marie Ann Stein
Hearing Site: Los Angeles, CA
| | |
| 10-05548 | 12/19/2011 | Claimant(s): Jack Immel, Valerie Immel, Jack F. Immel, IRA, Valerie R. Immel
Claimant Lawyers(s): David Harrison
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Robert B. Hansohn
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-01663 | 12/14/2011 | Claimant(s): Mitchell Kauffman
Claimant Lawyers(s): Samuel E. Endicott
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Dennis A. Torres
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-00502 | 12/13/2011 | Claimant(s): Carmela Di Gregorio
Claimant Lawyers(s): Thomas R. Catanese
Respondent(s): Oppenheimer & Co.., Ronald Kunze
Respondent Lawyers(s): Diana H. Sur, Robert J. Girard
Arbitrator(s): John E. Ohashi, Elizabeth A. Copley, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-02387 | 12/12/2011 | Claimant(s): Ellen Foster
Claimant Lawyers(s): Leonard Steiner
Respondent(s): Matthew Jennings, Thomas Savino, Wayne Leffler
Respondent Lawyers(s): John P. Girarde, Thomas Walter Savino
Arbitrator(s): Jerry Ellner, Robert Elman, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 10-03128 | 12/01/2011 | Claimant(s): Greif & Co.
Claimant Lawyers(s): Louis R. Miller
Respondent(s): David Iannini, Lloyd Greif
Respondent Lawyers(s): Amnon Z. Siegel, David Iannini
Arbitrator(s): Robert J. Ruben, Norman Michael Garland, William Michael Fallon
Hearing Site: Los Angeles, CA
| | |
| 09-02672 | 11/29/2011 | Claimant(s): James Carter, James A. and Annette Carter Charitable R
Claimant Lawyers(s): Brett Alcala
Respondent(s): Blair Mielke, First Allied Securities.
Respondent Lawyers(s): James M. Grady, Matthew D Watkins
Arbitrator(s): Ralph H. Erickson, Jeffrey E. Skogsbergh, William Lee Krantz
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 10-00603 | 11/29/2011 | Claimant(s): Jane Usher, Samuel Usher, Jackson A. Usher Custodial, Samuel T. Usher Custodial, Jane Ellison Usher Trust of Oct 20, 2000
Claimant Lawyers(s): Mark T. Drooks
Respondent(s): Bambi Holzer, Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee, H Thomas Fehn
Arbitrator(s): Kirtley M. Thiesmeyer, Holly Banafsheh, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | $1,405,390 |
| 09-02583 | 11/29/2011 | Claimant(s): Jose Castaneda, Felicitas Castaneda
Claimant Lawyers(s): Jose Castaneda
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Erik R. Siering, David L. Maislen, Henry Marris Wollman
Hearing Site: Los Angeles, CA
| | $0 |
