| 07-01196 | 03/20/2009 | Claimant(s): Gary Neiens
Claimant Lawyers(s): Maureen J. Duris
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Susan B. Gans-Smith, Ronald E. Malmfeldt, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | |
| 07-03054 | 03/20/2009 | Claimant(s): Alan Beverly, Angela Soll, Audrey Schaefer, Carole Renfro, Clayton Beck, Darcie Fulkerson, Debbie Beverly, Gail Stoneburg, Jeff Bourne, John Brezden, Jonathan Fulkerson, Kathy Beck, Kevin Howard, Linda Gaffney, Maria Brezden, Mark Baker, Mark Gruidl, Mark Soll, Michael Schaefer, Rena Stathacopoulos, et al
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Jeffrey Forrest, Associated Securities Corp.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert J. Ruben, Mark S. Priver, Kenneth Miller
Hearing Site: Los Angeles, CA
|  | $8,858,600 |
| 08-01584 | 03/19/2009 | Claimant(s): Donna Main
Claimant Lawyers(s): Donna Main
Respondent(s): Wachovia Securities, Gerald Morris
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Dennis A. Torres
Hearing Site: Los Angeles, CA
| | $0 |
| 07-01521 | 03/09/2009 | Claimant(s): Robert Shepherd
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Marshall Field, Emmett A Larkin Company., Southwest Securities.
Respondent Lawyers(s): Brandon S. Reif, Jonathan D. Neerman, Marshall Field
Arbitrator(s): William J. Adams, Arthur T. Berggren, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | Expungement |
| 07-03594 | 03/03/2009 | Claimant(s): Euro Pacific Capital.
Claimant Lawyers(s): John D. Pernick
Respondent(s): Kimberly Hardaker
Respondent Lawyers(s): Byron D. Groves
Arbitrator(s): Jonathan Schwartz, Mary M. O'Neil, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | |
| 08-00294 | 02/23/2009 | Claimant(s): Richard Rovnick, Robert Kotler, Robert Lubar, Ronald Sheldon, Sidney Oko, Drs. Adilman,Katin,Lubar Ltd. Profit Shr, M.D.. Profit Sharing, Ronald Sheldon Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Andrew Shapiro, Donald Hunter, Edward Taylor, Gregory Martino, Michael Baker, Westrock Advisors.
Respondent Lawyers(s): Robert a. Giacovas
Arbitrator(s): Vincent J. Natoli, Michael M. Hachigian, Troy C. Sumrall
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 07-02096 | 02/17/2009 | Claimant(s): David Glazov
Claimant Lawyers(s): D. Aaron Brock
Respondent(s): Ameriprise Advisor Services., Robert Terry
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Mandel E. Himelstein, Harold K. Hunt, Dennis A. Torres
Hearing Site: Los Angeles, CA
| | |
| 06-04310 | 02/13/2009 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Paul J. Schumacher
Respondent(s): Jaysen McCleary
Respondent Lawyers(s): Lenny Steiner
Arbitrator(s): Lawrence Yaeger, Kendall C. Reed, Arthur Alef
Hearing Site: Los Angeles, CA
| | |
| 08-01267 | 02/09/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Antonio Fontana
Respondent Lawyers(s): William F. Clark
Arbitrator(s): Kathryn L. Krebs, Carol Jeanne Medof, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
| | |
| 07-02111 | 02/06/2009 | Claimant(s): Paul Baiocchi
Claimant Lawyers(s): L.B. Chip Edleson
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Debra L. Fischer
Arbitrator(s): Laurent C. Vonderweidt, Dennis A. Torres, Debra Brothers Self
Hearing Site: Los Angeles, CA
| | |
