| 12-03079 | 05/22/2015 | Claimant(s): Marian Sanders
Claimant Lawyers(s): Phillip S. Wong
Respondent(s): Adam Ohair, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Martin Mandel, Steven Meyrich, Ford H. Wheatley
Hearing Site: Denver, CO
|  | Expungement |
| 12-01775 | 11/12/2013 | Claimant(s): Siegfried Mayer
Claimant Lawyers(s): Siegfried Mayer
Respondent(s): Brian Weinberg, Jeffrey Jones, Synergy Investment Group
Respondent Lawyers(s): Baruch Gottesman, Ian J. Frimet
Arbitrator(s): Martin Mandel
Hearing Site: Denver, CO
| | $25,000 |
| 11-01488 | 11/06/2012 | Claimant(s): Michael Davis, IRA Resources Inc. fbo Michael S. Davis
Claimant Lawyers(s): John K. Saur
Respondent(s): Curtis Sathre, John Schooler, Warren Horney, WFP Securities
Respondent Lawyers(s): David Maurer
Arbitrator(s): Martin Mandel, Mary L. Williams, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02340 | 09/13/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Michael Rooms
Respondent Lawyers(s): Michael Antoine Rooms
Arbitrator(s): Martin Mandel, Samuel E. Wing
Hearing Site: Denver, CO
| | |
| 08-03566 | 03/01/2012 | Claimant(s): Gene Holcomb
Claimant Lawyers(s): Dale Ledbetter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): William G. Whitman
Arbitrator(s): Martin Mandel, Joseph I. Liebman, Jerry L. Riggins
Hearing Site: Memphis, TN
| | $0 |
| 10-03827 | 11/17/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): William Northend
Respondent Lawyers(s): Kevin B. Kevorkian
Arbitrator(s): Martin Mandel
Hearing Site: San Francisco, CA
| | |
| 10-03343 | 08/31/2011 | Claimant(s): The Becker Family Trust dtd 10/10/98
Claimant Lawyers(s): Robert A. Lisnow
Respondent(s): Andrew Melikidse, Sagepoint Financial.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Martin Mandel, Robert S. Fash, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00329 | 06/06/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Steve Kelly
Respondent Lawyers(s): Steve G. Kelly
Arbitrator(s): Martin Mandel
Hearing Site: Phoenix, AZ
| | |
| 10-05353 | 04/28/2011 | Claimant(s): Donald Toussaint
Claimant Lawyers(s): Donald R. Toussaint
Respondent(s): BNY Mellon Securities LLC
Respondent Lawyers(s): Alexander H. Shapiro
Arbitrator(s): Martin Mandel
Hearing Site: Los Angeles, CA
| | $2,431 |
| 09-05470 | 12/13/2010 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChausse
Respondent(s): Knut Eie
Respondent Lawyers(s): Knut Ferdinand Eie
Arbitrator(s): Martin Mandel
Hearing Site: Portland, OR
| | |
