| 10-03091 | 05/04/2011 | Claimant(s): Dalton Investments LLC
Claimant Lawyers(s): Jeffrey Wittenberg
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Renee M. Zaytsev
Arbitrator(s): Thomas E. Shuck, Robert J. Ruben, George Frederick Garris
Hearing Site: Los Angeles, CA
|  | $250,000 |
| 10-03809 | 05/03/2011 | Claimant(s): Richard Brownstein
Claimant Lawyers(s): Richard J. Brownstein
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Jill Y. Coen
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $9,357 |
| 09-01469 | 05/03/2011 | Claimant(s): Dwight Manley
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Walter S. Weiss, Frederick N. Bailard, Paul H. White
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04436 | 05/03/2011 | Claimant(s): Michael McCarthy
Claimant Lawyers(s): Michael J. McCarthy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): James A. Sigler
Hearing Site: Los Angeles, CA
| | $0 |
| 09-06883 | 05/02/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Daniel Carmo
Respondent Lawyers(s): Sean M. Sullivan
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
| | |
| 10-05592 | 04/29/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): James Queen
Respondent Lawyers(s): James Allen Queen
Arbitrator(s): Michael M. Hachigian
Hearing Site: Los Angeles, CA
| | |
| 10-05353 | 04/28/2011 | Claimant(s): Donald Toussaint
Claimant Lawyers(s): Donald R. Toussaint
Respondent(s): BNY Mellon Securities LLC
Respondent Lawyers(s): Alexander H. Shapiro
Arbitrator(s): Martin Mandel
Hearing Site: Los Angeles, CA
| | $2,431 |
| 10-01192 | 04/27/2011 | Claimant(s): The Wright Family Living Trust
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): John Marshall, Rollance Verkennis, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Joseph C. Campo
Arbitrator(s): Alan Stamm, Thomas W. Gregory, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | $1,761,100 |
| 10-01085 | 04/26/2011 | Claimant(s): John Mason
Claimant Lawyers(s): John A. Mason
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): John E. Ohashi, Harold K. Hunt, Mark A. Levy
Hearing Site: Los Angeles, CA
| | $13,000 |
| 09-02724 | 04/20/2011 | Claimant(s): Shelby Rothman
Claimant Lawyers(s): William K. Brewer
Respondent(s): Opinder Marwah, Woodbury Financial Services.
Respondent Lawyers(s): Martin S. Chester
Arbitrator(s): Suzanne Viau Chamberlain, Robert Bruce MacDonald, John W. Garman
Hearing Site: Los Angeles, CA
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