| 09-00638 | 09/14/2009 | Claimant(s): Nancy C. Wood, Trustee
Claimant Lawyers(s): Nancy C. Wood
Respondent(s): Bill Kearney, Merrill Lynch Pierce Fenner & Smith Inc., Michael Phillip, Steven Neibert
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
|  | $213 |
| 08-00775 | 09/11/2009 | Claimant(s): Horace Grant
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): William J. Adams, Jonathan Schwartz, William Lee Krantz
Hearing Site: Los Angeles, CA
| | $1,460,000 |
| 08-02417 | 09/11/2009 | Claimant(s): Victor Chang, Victor Chang IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Richard J. Stall, Robert B. Moran, Grace L. Heyne
Hearing Site: Los Angeles, CA
| | $88,470 |
| 09-01377 | 09/09/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Hayato Tamura
Respondent Lawyers(s): Hayato Tamura
Arbitrator(s): David Edward Canter
Hearing Site: Los Angeles, CA
| | |
| 08-03574 | 08/31/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Thomas Heinz Teltscher
Respondent Lawyers(s): Thomas K. Heinz Teltscher
Arbitrator(s): Robert D. Sussin, Gerald C. Tambe, William J. Adams
Hearing Site: Los Angeles, CA
| | |
| 08-00450 | 08/28/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Robert Lobel
Respondent Lawyers(s): David R. Hagen
Arbitrator(s): Philip W. Burge, Blaine Smith, Christine A. Page
Hearing Site: Los Angeles, CA
| | |
| 09-01339 | 08/28/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mitchell Albert
Respondent(s): Elyahou Asherian
Respondent Lawyers(s): Elyahou Asherian
Arbitrator(s): Robert C. Albini
Hearing Site: Los Angeles, CA
| | |
| 08-01771 | 08/27/2009 | Claimant(s): Cheryl Gans, Jody Gans, Louis Gans
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wedbush Securities Inc., Wachovia Securities, Debbie Saleh, Joseph Rubenstein, UBS Financial Services Inc.
Respondent Lawyers(s): Debbie Saleh, John W. Stenson, Michael J. Abbott, Payne L. Templeton
Arbitrator(s): Alan Stamm, Robert J. Ruben, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-04006 | 08/26/2009 | Claimant(s): Peak Securities Corporation
Claimant Lawyers(s): Chad Weaver
Respondent(s): Gregg Mulholland, Bruin Industries.
Respondent Lawyers(s): Irving M. Einhorn
Arbitrator(s): Elliott David Finkel, Dennis A. Torres, Randall N. Kirk
Hearing Site: Los Angeles, CA
| | $0 |
| 08-01322 | 08/25/2009 | Claimant(s): Ilene Graham
Claimant Lawyers(s): William S. Bonnheim
Respondent(s): Michael Goodman, Stone & Youngberg LLC
Respondent Lawyers(s): Cara L. Meredith, Gregory E. Copeland
Arbitrator(s): Jeffrey E. Skogsbergh, Richard J. Stall, Dennis A. Torres
Hearing Site: Los Angeles, CA
| | Expungement |
