| 12-04301 | 08/20/2013 | Claimant(s): Franklin Miller
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Doris V. Knotter, Terry D. Anderson, Randy R. Maher
Hearing Site: San Diego, CA
| | |
| 10-00508 | 12/30/2011 | Claimant(s): Christiane Rocco, Michael Rocco
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Debra Reda-Cappos, Crowell, Weedon & Co., Seidler Holdings., The Seidler Companies Incorporated
Respondent Lawyers(s): G. Thomas Fleming, Peter Brown Dolan
Arbitrator(s): Daniel David Kopman, Norman Michael Garland, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
|  | Expungement |
| 10-01545 | 11/02/2011 | Claimant(s): Glenna Maguire, Glenna L. Maguire Trust UTD 7/26/07
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): Wedbush Securities Inc., George Dahl
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): John Alen DeRosa, Robert E. Lawson, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $12,500 |
| 10-00640 | 01/20/2011 | Claimant(s): Lawrence Ngou
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): Lawrence Labine, Dewaay Financial Network, Llc
Respondent Lawyers(s): Alan S. Baskin, Sam Y. Edgerton
Arbitrator(s): Vaughn Thomas Hale, Thomas A. Culbertson, W. Alex King
Hearing Site: Los Angeles, CA
| | $100,000 |
| 09-04007 | 01/03/2011 | Claimant(s): Curtis Hill
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): David Commins
Arbitrator(s): Jon A. Bostrom, Jeffrey L. Malek, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 02-00787 | 05/27/2008 | Claimant(s): Ronald and Kara Hershey
Claimant Lawyers(s): John Thomas Dzialo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Philip Hammitt
Respondent Lawyers(s): Peter Brown Dolan
Arbitrator(s): David Zollman, Michael D. Harrison, Carl W. Vaicek
Hearing Site: Los Angeles, CA
| | $0 |
| 06-04288 | 12/18/2007 | Claimant(s): Mondana Ghazanfari
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Nusheen Javadizadeh, Shapour Javadizadeh, RJJ Pasadena Securities.
Respondent Lawyers(s): Peter Brown Dolan
Arbitrator(s): Esther A. Spachner, Michael M. Perrigue, Michael Evan Beckman
Hearing Site: Los Angeles, CA
| | $152,140 |
| 07-00417 | 11/12/2007 | Claimant(s): Elizabeth Bondoc
Claimant Lawyers(s): Neda Ataie
Respondent(s): Wachovia Securities, Stephen Wilson
Respondent Lawyers(s): Peter Brown Dolan, Ryan P. Smith
Arbitrator(s): William E. Winfield, Troy C. Sumrall, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $13,713 |
| 06-04533 | 10/10/2007 | Claimant(s): Howe Electric.
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): The Seidler Companies Incorporated
Respondent Lawyers(s): Peter Brown Dolan
Arbitrator(s): John F. Cordova, Robert E. Jenks, Jan Frankel Schau
Hearing Site: Los Angeles, CA
| | $390,274 |
