| 07-01941 | 09/23/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Gary Handler
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Robert S. Fash, Robert Elman, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | |
| 07-03225 | 09/22/2008 | Claimant(s): Elinor Nielsen, James Nielsen, James & Elinor Nielsen Living Trust
Claimant Lawyers(s): Kristin M. Cano
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Curt H. Mueller
Arbitrator(s): Barbara M. Zak, Mark A. Levy, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
|  | $304,478 |
| 05-05165 | 09/08/2008 | Claimant(s): Edward Martell
Claimant Lawyers(s): Kevin J. Hizon
Respondent(s): Calvin Garvin, Rod Kamps, Financial Advisors Network.
Respondent Lawyers(s): Kevin E. Monson
Arbitrator(s): Douglas J. Rovens, Mark A. Levy, James S. Carlson
Hearing Site: Los Angeles, CA
| | |
| 08-00581 | 09/05/2008 | Claimant(s): Pointe Capital.
Claimant Lawyers(s): Daniel R Levene
Respondent(s): Arthur Gerome
Respondent Lawyers(s): Arthur Anthony Gerome
Arbitrator(s): Jeffrey E. Skogsbergh
Hearing Site: Los Angeles, CA
| | |
| 03-03017 | 09/04/2008 | Claimant(s): Justin Perlstrom
Claimant Lawyers(s): Christopher Mader
Respondent(s): Barbara Ralston, Charles Lazzaro, John Openshaw, First Wall Street Corporation
Respondent Lawyers(s): Barbara J. Ralston, Charles P. Lazzaro, John R. Openshaw, Patrick Baldwin
Arbitrator(s): Larry Edmonson, Marcus J. Anwyl-Davies, William S. Diver
Hearing Site: Los Angeles, CA
| | Expungement |
| 06-04695 | 08/29/2008 | Claimant(s): Flavia LoCoco
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Jason S. Mills
Arbitrator(s): Ralph H. Erickson, Holly Banafsheh, Steven K. Ogata
Hearing Site: Los Angeles, CA
| | |
| 07-02566 | 08/29/2008 | Claimant(s): GunnAllen Financial.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Michael Poutre, II, Shlomi Eplboim
Respondent Lawyers(s): Michael Poutre, Shlomi Eplboim
Arbitrator(s): Robert Taylor, Blaine Smith, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
| | |
| 06-05046 | 08/28/2008 | Claimant(s): Steven Bickel
Claimant Lawyers(s): Frank E. Bremmer
Respondent(s): John Humphrey, A.G. Edwards & Sons., Robert Burns
Respondent Lawyers(s): Brent J. Burtin, John James Humphrey
Arbitrator(s): David J. Anderson, Gerald F. Corrigan, David Nielsen
Hearing Site: Los Angeles, CA
| | No Info |
| 06-02734 | 08/27/2008 | Claimant(s): Michael Waks
Claimant Lawyers(s): Michael L. Meeks
Respondent(s): David Goodenough, Melody Li, Thomas Birk, Lehman Brothers Inc
Respondent Lawyers(s): Eric M. George, Neal S. Robb
Arbitrator(s): Mary M. O'Neil, Vytas Tarulis, Steven K. Ogata
Hearing Site: Los Angeles, CA
| | $52,314 |
| 01-06400 | 08/26/2008 | Claimant(s): Robert Tarrington
Claimant Lawyers(s): Robert W. Tarrington
Respondent(s): John Lee, Laurence Forsman, A.G. Edwards & Sons.
Respondent Lawyers(s): Jason S. Mills, Laurence S. Forsman, Nuviah Shirazi
Arbitrator(s): Martin Mandel, David J. Anderson, Michael D. Harrison
Hearing Site: Los Angeles, CA
| | |
