| 08-01386 | 01/25/2010 | Claimant(s): Dale Beaman, Gina Beaman, D and G Momentum
Claimant Lawyers(s): Curt R. Craton
Respondent(s): Ameriprise Financial Services., Walter Coulter
Respondent Lawyers(s): Chad Weaver, Walter Lee Coulter
Arbitrator(s): Martin Mandel, Robert W. Vernon
Hearing Site: Los Angeles, CA
|  | $135,037 |
| 08-03424 | 01/22/2010 | Claimant(s): Ronald Pelley
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): John B. Wells, Elizabeth A. Copley, Glen W. Hanne
Hearing Site: Los Angeles, CA
| | $0 |
| 09-00877 | 01/13/2010 | Claimant(s): Frank Lopez, Frank R. Lopez Living Trust
Claimant Lawyers(s): David Harrison
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert C. Albini
Hearing Site: Los Angeles, CA
| | $0 |
| 08-00944 | 01/11/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Sue Lee
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): Audrey H. Ruben, James S. Carlson, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | |
| 07-03630 | 01/07/2010 | Claimant(s): Ronald Ostlund
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Joseph Sorbara, Linda Chudnoff, Peter Orthos, Steven Markowitz, Joseph Stevens & Company.
Respondent Lawyers(s): Joseph Sorbara, Linda E. Chudnoff, Peter C. Orthos, Steven A. Markowitz
Arbitrator(s): Martin Mandel, John Alen DeRosa, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $220,000 |
| 09-01781 | 12/31/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Jeffrey S. Hood
Respondent(s): Charles Ray
Respondent Lawyers(s): Charles Ray
Arbitrator(s): Kenneth I. Rosenblum
Hearing Site: Los Angeles, CA
| | |
| 09-02330 | 12/22/2009 | Claimant(s): Jeffrey Falcone
Claimant Lawyers(s): Jeffrey Marc Falcone
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $0 |
| 09-01512 | 12/21/2009 | Claimant(s): David Wolfson Living Trust UAD 4/2/90
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Peter Boorn, Thomas Cooper, Stockcross Financial Services.
Respondent Lawyers(s): George H. Kupper
Arbitrator(s): John B. Wells, Herbert Murez, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | $1,661,200 |
| 09-02008 | 12/21/2009 | Claimant(s): Vincent Velci
Claimant Lawyers(s): Vincent Velci
Respondent(s): Sonya Logan, Scottrade.
Respondent Lawyers(s): Phyllis Hartrich
Arbitrator(s): Michael G. Clark
Hearing Site: Los Angeles, CA
| | $213 |
| 08-03742 | 12/18/2009 | Claimant(s): Arnold P. Jonas and Emma M. Jonas
Claimant Lawyers(s): Robert A. Peterson
Respondent(s): WAMU Investments., Robert Fogarty, AIG Annuity Insurance Company
Respondent Lawyers(s): Dan Marmalefsky, Stephanie L. Johnson
Arbitrator(s): Alan Stamm, Martin Mandel, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
| | $0 |
