| 06-00085 | 05/05/2008 | Claimant(s): Roger Hanson
Claimant Lawyers(s): Jordan K. Atzoff
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Judy Louie
Arbitrator(s): John W. Parker, Martin Perlberger, Henry Marris Wollman
Hearing Site: Los Angeles, CA
|  | $775,012 |
| 07-00107 | 05/02/2008 | Claimant(s): Edward Satlin, Micah Scheinberg
Claimant Lawyers(s): Rodney J. Heggy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Jeffrey E. Skogsbergh, Robert Bruce MacDonald, David Nielsen
Hearing Site: Los Angeles, CA
| | |
| 96-03667 | 05/01/2008 | Claimant(s): Robert Campbell
Claimant Lawyers(s): Mary Campbell
Respondent(s): Andrew Skidmore, First Metropolitan Securities Inc.
Respondent Lawyers(s): Andrew C. Skidmore, William Goble
Arbitrator(s): Ed Gartenberg, David J. Brotman, Cynthia Ann Higgins
Hearing Site: Los Angeles, CA
| | $18,250 |
| 07-03425 | 04/30/2008 | Claimant(s): Shoji Takahashi
Claimant Lawyers(s): Shoji Takahashi
Respondent(s): Firstrade Securities Inc.
Respondent Lawyers(s): Peter Gschweng
Arbitrator(s): Harry Miller
Hearing Site: Los Angeles, CA
| | $213 |
| 04-00393 | 04/23/2008 | Claimant(s): Peter Grymkowski
Claimant Lawyers(s): Bryan C. Altman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Sheldon M. Jaffe, Arthur F. Brueggeman, W. Alex King
Hearing Site: Los Angeles, CA
| | $31,000 |
| 07-02281 | 04/18/2008 | Claimant(s): Paul Roupinian
Claimant Lawyers(s): Paul Edward Roupinian
Respondent(s): John Orr, UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer L. Nutter
Arbitrator(s): Theodore G. Bradpiece, Jerry Ellner, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | |
| 07-02163 | 04/17/2008 | Claimant(s): Raymond Stockus
Claimant Lawyers(s): Raymond James Stockus
Respondent(s): National Financial Services LLC, Brookstreet Securities Corporation
Respondent Lawyers(s): Donald S. Davidson, H Thomas Fehn
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | |
| 07-03084 | 04/17/2008 | Claimant(s): Lee Tower
Claimant Lawyers(s): Lee W Tower
Respondent(s): Aldo Lozano, Wachovia Securities, David Altshuler, Mark Panfil
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Mark S. Priver
Hearing Site: Los Angeles, CA
| | $213 |
| 07-02674 | 04/10/2008 | Claimant(s): Martin Schule & Zelda Schule JT TEN
Claimant Lawyers(s): Martin Schule
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mai Klaassen
Arbitrator(s): Linda J. Berberian
Hearing Site: Los Angeles, CA
| | $18,850 |
| 04-04060 | 04/07/2008 | Claimant(s): Christopher Houchin
Claimant Lawyers(s): Thomas J. Anton
Respondent(s): Vincent Bentivegna, Ehrenkrantz King Nussbaum.
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Milton C. Bennett, Gerald F. Corrigan, Thomas L. Flattery
Hearing Site: Los Angeles, CA
| | Expungement |
