| 10-00640 | 01/20/2011 | Claimant(s): Lawrence Ngou
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): Lawrence Labine, Dewaay Financial Network, Llc
Respondent Lawyers(s): Alan S. Baskin, Sam Y. Edgerton
Arbitrator(s): Vaughn Thomas Hale, Thomas A. Culbertson, W. Alex King
Hearing Site: Los Angeles, CA
|  | $100,000 |
| 10-03784 | 01/19/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Eleonora Grinshteyn
Respondent(s): Michael Mildon
Respondent Lawyers(s): Michael Joseph Mildon
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | |
| 10-01168 | 01/19/2011 | Claimant(s): Robert Reynolds, Susan Pitsch Reynolds, The 403-B Plan FBO Susan H. Pitch-Reynol, The Reynolds Living Trust U/A 6/14/03
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Ralph B. Perry, Mary M. O'Neil, Christopher William Shaw
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02986 | 01/19/2011 | Claimant(s): Mary Cascio
Claimant Lawyers(s): Mary P. Cascio
Respondent(s): Eric Bond, National Planning Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $4,720 |
| 03-02421 | 01/04/2011 | Claimant(s): Oppenheimer & Co.
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): George M. Garvey
Arbitrator(s): Ronald L. Cameron, Mark S. Priver, Ronald E. Ogden
Hearing Site: Los Angeles, CA
| | |
| 09-04773 | 01/04/2011 | Claimant(s): Rhoda Seidler Revocable Trust
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Elizabeth H Lindh
Arbitrator(s): Melvin S. Feldman, Richard William DeWeese, Willard H. Altman
Hearing Site: Los Angeles, CA
| | $208,000 |
| 09-05541 | 01/04/2011 | Claimant(s): Dawn Coulson, Steckbauer Weinhart Jaffe, LLP 401 (K)
Claimant Lawyers(s): Jeffrey A. Cohen, William W. Steckbauer
Respondent(s): Karen Rosen, The Rosen Group
Respondent Lawyers(s): Karen Lyn Rosen
Arbitrator(s): Mary L. Williams
Hearing Site: Los Angeles, CA
| | $9,454 |
| 09-04007 | 01/03/2011 | Claimant(s): Curtis Hill
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): David Commins
Arbitrator(s): Jon A. Bostrom, Jeffrey L. Malek, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 08-05016 | 01/03/2011 | Claimant(s): Family Bypass Trust of the Gordon Family, Gordon Investment Trust, Surviving Spouse's Trust
Claimant Lawyers(s): Scott Shapiro, Steve Buchwalter
Respondent(s): Grace Stclair, PFS Investments Inc., Primerica Financial Services, The Travelers Life and Annuity Company
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Kenneth I. Rosenblum, Melvin S. Feldman, Robert Dean McKinley
Hearing Site: Los Angeles, CA
| | $477,867 |
| 10-02930 | 12/31/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Deward Lawrence
Respondent Lawyers(s): Deward T. Lawrence
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | |
