| 09-07236 | 07/20/2010 | Claimant(s): Ronald Smith, Ronald S Smith A Law Corporation
Claimant Lawyers(s): Ronald S. Smith
Respondent(s): Wachovia Securities Financial Network, Wachovia Securities, Wells Fargo Advisors, Michael Scher
Respondent Lawyers(s): William S. Port
Arbitrator(s): Mary L. Williams
Hearing Site: Los Angeles, CA
|  | $38 |
| 09-07246 | 07/20/2010 | Claimant(s): Bijan Hakimpour
Claimant Lawyers(s): Bijan Hakimpour
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Alexander T. Moore
Arbitrator(s): Walter S. Weiss
Hearing Site: Los Angeles, CA
| | $213 |
| 09-05774 | 07/15/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Michael Lopez
Respondent Lawyers(s): Michael W. Lopez
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
| | |
| 09-00088 | 07/15/2010 | Claimant(s): Jeanette Andreas, Joel Andreas
Claimant Lawyers(s): James A. Sigler
Respondent(s): Charles Schwab & Co.., William Read
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Larry Edmonson, Larry Haugaard, Robert Rosen
Hearing Site: Los Angeles, CA
| | Expungement |
| 07-03411 | 07/08/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Charles N. Bland
Respondent(s): Violette Fabio, Wells Fargo and Company
Respondent Lawyers(s): Charles N. Bland, Michael D. Anderson
Arbitrator(s): Michael M. Hachigian, David W. Casey, Joseph M. Fabricatore
Hearing Site: Los Angeles, CA
| | |
| 09-06682 | 07/07/2010 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Kenneth Osborn
Respondent Lawyers(s): Kenneth Vernond Osborn
Arbitrator(s): Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
| | |
| 10-00956 | 07/07/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Lloyd Graham
Respondent Lawyers(s): Lloyd William Graham
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
| | |
| 09-03933 | 06/25/2010 | Claimant(s): Ron Auren, Gal Corporation
Claimant Lawyers(s): Ron Auren
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Michael W. Delaney, Esther A. Spachner, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $0 |
| 08-03679 | 06/23/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Edward Harris
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): David Maurer, Daniel R. Brush, James M. Goldberg
Hearing Site: Los Angeles, CA
| | |
| 09-00822 | 06/22/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Steven Pompan
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Richard J. Stall, Marc S. Joseph, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | |
