| 10-04059 | 10/10/2011 | Claimant(s): David Herman
Claimant Lawyers(s): Lance Kimmel
Respondent(s): Mosaic Capital Securities
Respondent Lawyers(s): Robert Peter Weiss
Arbitrator(s): Thomas E. Shuck
Hearing Site: Los Angeles, CA
| | |
| 09-02671 | 10/07/2011 | Claimant(s): Vincent R. and Tracie D. Heileson JTTEN
Claimant Lawyers(s): Anthony B. Gordon
Respondent(s): Wells Fargo Investments, Hokon Yun
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): J. Jean Elliott, James S. Carlson, David Nielsen
Hearing Site: Los Angeles, CA
|  | $83,071 |
| 11-01384 | 10/04/2011 | Claimant(s): Margot Mandel
Claimant Lawyers(s): Colleen Marmor
Respondent(s): Kumbirai Mtunga
Respondent Lawyers(s): Kumbirai Vincent Mtunga
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $3,000 |
| 09-03931 | 10/03/2011 | Claimant(s): Lulu Coffey, Robert Coffey, Robert & Lulu Coffey Living Trust dd 11/, Scott P. Keil Trust U/W, FBO Douglas Kei
Claimant Lawyers(s): David Harrison
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): John Alen DeRosa, Madeleine Kleinman, Melvin S. Feldman, Adam Michael Porter, Marc S. Joseph, Christopher L. Mass
Hearing Site: Los Angeles, CA
| | $0 |
| 11-01724 | 09/20/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Gregory Holmes
Respondent Lawyers(s): Gregory P. Holmes
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 10-05023 | 09/19/2011 | Claimant(s): Darrell Huston
Claimant Lawyers(s): William F. Davis
Respondent(s): Valentino Scott, Centaurus Financial.
Respondent Lawyers(s): Dave Lenny
Arbitrator(s): Barbara M. Zak, John Alen DeRosa, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $42,477 |
| 11-00382 | 09/08/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Hilary Campbell
Respondent Lawyers(s): Hilary Campbell
Arbitrator(s): Elizabeth A. Copley
Hearing Site: Los Angeles, CA
| | |
| 09-06492 | 09/06/2011 | Claimant(s): Amir Monsefi
Claimant Lawyers(s): Faryan Andrew Afifi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Barton J. Brewer, Debra Brothers Self, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | |
| 10-01320 | 09/06/2011 | Claimant(s): Carl Neuss, Carla Neuss, Elaine Neuss, Hitching Rail Investors, One Westheimer Investors, LTD, DBPP, Pacific Venture Associates Inc. DBPP, Pacific Ventures Associates., Alex Neuss UTMA, Carla Neuss UTMA, Rebecca Neuss UTMA, Carl F. Neuss Beneficiary IRA, Carl F. Neuss IRA, Elaine P. Neuss IRA, Pacific Ventures Asso. 401K, Neuss Family Trust, Prairiestone Investment Trust
Claimant Lawyers(s): Martin B. Greenbaum, Michael Hume
Respondent(s): Wells Fargo Investments, John Milia, Michael Gates
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert D. Sussin, Robert C. Albini, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-05524 | 09/01/2011 | Claimant(s): Lou-Ellen Robbins
Claimant Lawyers(s): Lou-Ellen Robbins
Respondent(s): John Alling, First Wall Street Corp., Wedbush Morgan Securities.
Respondent Lawyers(s): Arthur S. Leider, Charles LaChaussee, John Scott Alling
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | $12,584 |
