| 11-02119 | 01/20/2012 | Claimant(s): Montye Puckett
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Robert Rosen
Hearing Site: Birmingham, AL
|  | $32,925 |
| 11-02260 | 12/30/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Ted Shin
Respondent Lawyers(s): Ted Sung-Woo Shin
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 07-02708 | 03/02/2011 | Claimant(s): Carol Flier, Nicole Flier, First Savings Bank C/F Dennis Flier IRA, Dennis Flier. Defined Benefit Trust, Flier Family Trust DTD 1/21/98
Claimant Lawyers(s): Dennis Flier
Respondent(s): Financial West Group
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Barry A. Mainardi, Robert Rosen, Philip H. Marmurowski
Hearing Site: Las Vegas, NV
| | $0 |
| 10-02929 | 12/16/2010 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Justin Sacca
Respondent(s): Harold McNaughton
Respondent Lawyers(s): Harold D. McNaughton
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 09-00088 | 07/15/2010 | Claimant(s): Jeanette Andreas, Joel Andreas
Claimant Lawyers(s): James A. Sigler
Respondent(s): Charles Schwab & Co.., William Read
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Larry Edmonson, Larry Haugaard, Robert Rosen
Hearing Site: Los Angeles, CA
| | Expungement |
| 07-01095 | 05/09/2008 | Claimant(s): Evelyn Brandin, IRA, Brandin Family Trust
Claimant Lawyers(s): David Liebrader
Respondent(s): James Thomas
Respondent Lawyers(s): Alan L. Sachs
Arbitrator(s): Merrill Dean Taylor, Robert Rosen, Dee Newell
Hearing Site: Las Vegas, NV
| | $1,225,420 |
| 03-00505 | 01/22/2008 | Claimant(s): Jan Green
Claimant Lawyers(s): Jan Green
Respondent(s): Richard Nickles, R. Nickles & Company
Respondent Lawyers(s): Gayle L. Wilder
Arbitrator(s): Daphne D. Duverney, Donald S. Simons, Robert Rosen
Hearing Site: Los Angeles, CA
| | $0 |
