| 10-00012 | 12/31/2010 | Claimant(s): Josephine Wayman
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Securities America., Randall Talbott
Respondent Lawyers(s): Bruce M. Bettigole, Bryan M. Ward
Arbitrator(s): Joseph C. Watson, Joel D. Davidman, W. Alex King
Hearing Site: Los Angeles, CA
|  | $1,155,470 |
| 09-06443 | 12/28/2010 | Claimant(s): Jeanne Johnson
Claimant Lawyers(s): Glenn J. Campbell
Respondent(s): UBS Financial Services Inc., Wesley Wong
Respondent Lawyers(s): Kathleen Adams
Arbitrator(s): Robert W. Vernon
Hearing Site: Los Angeles, CA
| | $18,500 |
| 09-01371 | 12/23/2010 | Claimant(s): MF Global Inc.
Claimant Lawyers(s): John W. Cotton
Respondent(s): Sohan Dua
Respondent Lawyers(s): Montgomery G. Griffin
Arbitrator(s): Milton N. Gross, Robert C. Albini, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | $0 |
| 09-02704 | 12/22/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Mark Robles
Respondent Lawyers(s): Mark J. Robles
Arbitrator(s): Erik R. Siering, Janice A. Salter, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | |
| 10-02607 | 12/20/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Dennis Hildebrandt, Dennis D. Hildebrandt Trust U/A DTD 5/25
Respondent Lawyers(s): Dennis D. Hildebrandt, Glenn C. McElroy
Arbitrator(s): Donald S. Simons
Hearing Site: Los Angeles, CA
| | $0 |
| 09-00339 | 12/20/2010 | Claimant(s): Dominic Annino, DVA Family Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wells Fargo Investments, Kennon Klein
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Elizabeth A. Copley, Milton N. Gross, Ara Kassabian
Hearing Site: Los Angeles, CA
| | $125,000 |
| 10-01631 | 12/20/2010 | Claimant(s): Susan Manners
Claimant Lawyers(s): Susan M. Manners
Respondent(s): Oppenheimer & Co.., Stephen Wilshinsky
Respondent Lawyers(s): Diana H. Sur, Stephen J. Wilshinsky
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
| | $0 |
| 10-02929 | 12/16/2010 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Justin Sacca
Respondent(s): Harold McNaughton
Respondent Lawyers(s): Harold D. McNaughton
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 10-03518 | 12/16/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Danny Vivian
Respondent Lawyers(s): Danny H. Vivian
Arbitrator(s): Dean J. Dietrich
Hearing Site: Los Angeles, CA
| | |
| 10-00013 | 12/16/2010 | Claimant(s): Roee Kraemer
Claimant Lawyers(s): Roee Kraemer
Respondent(s): Burke Dambly, Daryl Holzberg, James Walsh, Private Asset Group.
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
| | Expungement |
