| 06-03917 | 12/10/2007 | Claimant(s): Norman Miller, Pauline Miller, Miller Family Foundation, Miller Charitable Remainder Trust, Miller Revocable Trust
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Bruce Graham, John Walthall, B.B. Graham & Company.
Respondent Lawyers(s): John P. Cleary, Thomas C. Frost
Arbitrator(s): Dean Schneider, Robert C. Albini, Marvin Eugene Levin
Hearing Site: Los Angeles, CA
|  | $243,377 |
| 05-06450 | 12/07/2007 | Claimant(s): Ronald Goldman
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Wachovia Securities, Terry Chase
Respondent Lawyers(s): G. Thomas Fleming, Sheryl Skibbie
Arbitrator(s): Donald S. Simons, Robert S. Fash, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 07-02952 | 12/06/2007 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Brian I. Hays
Respondent(s): Thomas Vance
Respondent Lawyers(s): Thomas K. Vance
Arbitrator(s): Laurie J. Butler
Hearing Site: Los Angeles, CA
| | |
| 06-05355 | 12/05/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ross E. Noble
Respondent(s): Frank Parlato
Respondent Lawyers(s): Frank C. Parlato
Arbitrator(s): James P. Murphy, George Frederick Garris, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
| | |
| 06-04213 | 12/05/2007 | Claimant(s): Salvador Marroquin
Claimant Lawyers(s): Matthew J. Pero
Respondent(s): Isidoro Miramontes, Morgan Stanley DW Inc.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Philip W. Burge, Herbert Murez, Suzanne Viau Chamberlain
Hearing Site: Los Angeles, CA
| | Expungement |
| 06-03882 | 11/30/2007 | Claimant(s): Francis Filosa
Claimant Lawyers(s): Francis R. Filosa
Respondent(s): Alan Avedissian, Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): CathyLyn Rossi, William Marlin Turner, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
| | $0 |
| 06-02931 | 11/29/2007 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Carmine Grillo, Charles Hubbard, Christopher Horner, Melvin Reiter, Robert Weaver, Dain Rauscher Financial Group
Respondent Lawyers(s): Carolyn Guy, Merle H. Horwitz
Arbitrator(s): Robert S. Fash, Linda J. Berberian, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | |
| 05-01209 | 11/20/2007 | Claimant(s): Tania Appell
Claimant Lawyers(s): Debra A. Opri
Respondent(s): John Lee, A.G. Edwards & Sons.
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Harris E. Kershnar, J. Jean Elliott, Michael Charles Doland
Hearing Site: Los Angeles, CA
| | |
| 05-00185 | 11/16/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Brian C. Free
Respondent(s): Donald Popkes
Respondent Lawyers(s): Donald L. Popkes
Arbitrator(s): Milton C. Bennett
Hearing Site: Los Angeles, CA
| | |
| 07-01644 | 11/16/2007 | Claimant(s): Joseph Padilla
Claimant Lawyers(s): Irving M. Einhorn
Respondent(s): Empire Financial Group.
Respondent Lawyers(s): Gary A. Klein
Arbitrator(s): Luther Delano Prater, David Maurer, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
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