| 08-01651 | 11/02/2011 | Claimant(s): Tule River Tribal Council, Tule River Tribe of the Tule River Reser
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): Bernard Machlovitch, Erin Callan, Frederick Frank, Hans Maentz, Howard Clark, Howard Plotkin, Mark Connally, Michael Drago, Peter Coleman, Richard Fuld, Scott Freidheim, Thomas Cruikshank, Thomas Russo
Respondent Lawyers(s): James G. Kreissman, Kathleen N. Massey, Ronald E. Wood, Todd S. Fishman
Arbitrator(s): James H. Frank, Robert P. Clifford, Edward A. Trabin
Hearing Site: Los Angeles, CA
|  | Expungement |
| 10-01545 | 11/02/2011 | Claimant(s): Glenna Maguire, Glenna L. Maguire Trust UTD 7/26/07
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): Wedbush Securities Inc., George Dahl
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): John Alen DeRosa, Robert E. Lawson, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $12,500 |
| 10-04932 | 10/27/2011 | Claimant(s): Jayne Dressor, Marissa Dressor
Claimant Lawyers(s): Jayne Dressor
Respondent(s): World Group Securities.
Respondent Lawyers(s): Robert G. Brunton
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 11-00110 | 10/25/2011 | Claimant(s): Jane Galvan, Jane Galvan Trust
Claimant Lawyers(s): Donald L. Saltzman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Barton Wayne Cox
Arbitrator(s): Madeleine Kleinman, Joyce L. Hurley, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-05572 | 10/20/2011 | Claimant(s): James Towery
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Prestige Financial Center.
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
| | $163,343 |
| 10-04795 | 10/19/2011 | Claimant(s): Leiby Jeremias
Claimant Lawyers(s): Leiby Jeremias
Respondent(s): Michael Ferraro
Respondent Lawyers(s): Michael John Ferraro
Arbitrator(s): Mary L. Williams
Hearing Site: Los Angeles, CA
| | |
| 10-03270 | 10/19/2011 | Claimant(s): Swedelson & Gottlieb Cash Balance Plan
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): Mitchell Pindus, RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Audrey H. Ruben, Catherine M. O'Brien, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | $10,000 |
| 10-04107 | 10/19/2011 | Claimant(s): Mark Kosker
Claimant Lawyers(s): Mark M. Kosker
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Juli Aylesworth
Arbitrator(s): Steven Gourley
Hearing Site: Los Angeles, CA
| | $0 |
| 11-01028 | 10/17/2011 | Claimant(s): Jason Guehl
Claimant Lawyers(s): Jason Robert Guehl
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Vaughn Thomas Hale, Joyce L. Hurley, Daniel David Kopman
Hearing Site: Los Angeles, CA
| | |
| 10-03222 | 10/13/2011 | Claimant(s): Anthony Hanna, Debra Hanna, 2001 Anthony J. and Debra F. Revocable T
Claimant Lawyers(s): Irwin Stein
Respondent(s): Dale Hall, David Smith, Kathleen Heshelow, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities.
Respondent Lawyers(s): David L. Smith, H Thomas Fehn, Orly Davidi
Arbitrator(s): Alan Stamm, A. Joel Klein, Russell T. Doe
Hearing Site: Los Angeles, CA
| | $0 |
