| 11-00453 | 06/04/2012 | Claimant(s): Marvin Antonowsky, Marvin Antonowsky IRA, Antonowsky 1984 Trust UAD 03/23/1989
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): E*Trade Securities LLC, Li-Wei Chang
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Barbara M. Zak, Arthur F. Brueggeman, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-02028 | 12/21/2011 | Claimant(s): John Pocreva
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Barbara M. Zak
Hearing Site: New Orleans, LA
| | $21,925 |
| 11-01740 | 12/01/2011 | Claimant(s): Becky Phillips
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Barbara M. Zak
Hearing Site: Birmingham, AL
| | $17,117 |
| 10-05023 | 09/19/2011 | Claimant(s): Darrell Huston
Claimant Lawyers(s): William F. Davis
Respondent(s): Valentino Scott, Centaurus Financial.
Respondent Lawyers(s): Dave Lenny
Arbitrator(s): Barbara M. Zak, John Alen DeRosa, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $42,477 |
| 09-03872 | 02/15/2011 | Claimant(s): Magaly Thrasher, Sean R. Burns UTMA/CA, Jerold & Magaly Thrasher Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Bruce Hallenbeck, Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Barbara M. Zak, Elizabeth A. Copley, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | $105,000 |
| 09-00609 | 11/29/2010 | Claimant(s): Moshe Shram
Claimant Lawyers(s): Jonathan Schwartz
Respondent(s): IDB Capital Corp.
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Barbara M. Zak, Joseph C. Watson, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | $0 |
| 10-00564 | 10/26/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Brian Mcloughlin
Respondent Lawyers(s): Brian McLoughlin
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
| | |
| 09-01854 | 10/21/2010 | Claimant(s): Abraham Assil
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Barbara M. Zak, James R. Duncan, Richard J. Stall
Hearing Site: Los Angeles, CA
| | $0 |
| 07-01990 | 11/10/2008 | Claimant(s): Benjamin Dwork, Ilene Bernik, Jeremy Dwork, Joann Dwork, Joshua Dwork, Matthew Dwork, Paul Dwork, Bernik Exemption Trust, Bernik Marital Trust, Ilene Dwork Bernik 2005 Revocable Trus, Paul & Joann R. Dwork Trust dtd 6/6/89
Claimant Lawyers(s): Gerard P. Fox
Respondent(s): Albert Humphrey, Gary Shemano, The Shemano Group.
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Barbara M. Zak, Jerry Ellner, Louise A. Berberian
Hearing Site: Los Angeles, CA
| | $250,000 |
| 07-03225 | 09/22/2008 | Claimant(s): Elinor Nielsen, James Nielsen, James & Elinor Nielsen Living Trust
Claimant Lawyers(s): Kristin M. Cano
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Curt H. Mueller
Arbitrator(s): Barbara M. Zak, Mark A. Levy, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
| | $304,478 |
