| 06-04210 | 09/05/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas Volz
Respondent(s): Javier Ruedas
Respondent Lawyers(s): Dean R. Kitano
Arbitrator(s): Robert D. Sussin, Blaine Smith, Dennis A. Torres
Hearing Site: Los Angeles, CA
| | |
| 06-00118 | 08/30/2007 | Claimant(s): William Marshall, Hartunian Family Trust UTD 3/8/95
Claimant Lawyers(s): David Casterline, Scott R. Shewan
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Barbara M. Zak, Allan D. Stampa, Christine Lonzello
Hearing Site: Los Angeles, CA
|  | $0 |
| 05-01153 | 08/24/2007 | Claimant(s): Burke Dambly, Cindy Chiu, Corbin Thomas, James Walsh, Linda Bak, Robert Horning, Troy Thomas
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Michael Upton, Direct Capital Securities., MCL Financial Group., Upton Financial Services.
Respondent Lawyers(s): Clay Womack, Theodore Peters
Arbitrator(s): Barbara M. Zak, Dorothy B. Strackbein, Janice A. Salter
Hearing Site: Los Angeles, CA
| | |
| 06-04809 | 08/23/2007 | Claimant(s): Nicholas Czuczko
Claimant Lawyers(s): Nicholas A. Czuczko
Respondent(s): Electronic Access Direct., Penson Financial Services.
Respondent Lawyers(s): Richard L. Barrett, Will S. Montgomery
Arbitrator(s): George M. Wiener, Timothy N. Will, Edward A. Trabin
Hearing Site: Los Angeles, CA
| | $0 |
| 06-03185 | 08/20/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Elias Lopez-Hakimian
Respondent Lawyers(s): Daniel L. Hitzke
Arbitrator(s): Dennis A. Torres, Robert C. Albini, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
| | |
| 06-03416 | 08/17/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Alan Wise
Respondent Lawyers(s): Alan K. Wise
Arbitrator(s): Larry Haugaard, James P. Murphy, Ivan Claman
Hearing Site: Los Angeles, CA
| | |
| 06-05354 | 08/14/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Nelvine Ocampo
Respondent Lawyers(s): Irving M. Einhorn
Arbitrator(s): Richard J. Stall, Norman Cousins Sasamori, Randall N. Kirk
Hearing Site: Los Angeles, CA
| | |
| 07-00056 | 08/09/2007 | Claimant(s): Welch Family Trust dtd 10/31/91
Claimant Lawyers(s): Chris Rolin
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $150 |
